RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
T••••• J••••• L•••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 18, 2022 · Oakhurst, Nj
- J••• M••••• S••••••••• L•• wirehouseJul 28, 2015 to Dec 10, 2021 · Jackson, Nj
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Jul 28, 2015 · Freehold, Nj
- L•• F•••••••• L•• BD affiliatedJun 8, 2012 to Sep 19, 2012 · Freehold, Nj
- M••••• S•••••• wirehouseNov 15, 2011 to Jun 14, 2012 · Red Bank, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 9, 2010 to Nov 16, 2011 · Red Bank, Nj
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Dec 10, 2021, registered Mar 18, 2022 (98 days) · Wirehouse to wirehouse
- S•••••••• S••••••••• to J••• M••••• S••••••••• L••left Jul 28, 2015, registered Jul 28, 2015 (0 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to L•• F•••••••• L••left Jun 14, 2012, registered Jun 8, 2012 (-6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Nov 16, 2011, registered Nov 15, 2011 (-1 days) · Wirehouse to wirehouse
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address