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.
R•••••• N••• G••••••
- E••••• J•••• national BD currentsince Jan 12, 2009 · Lincolnwood, Il
- M•• S••••••••• I••• unclassifiedMar 2, 2004 to Oct 6, 2004 · Cheektowaga, Ny
- N•• E•••••• S••••••••• C••••••••• formerDec 20, 2002 to Feb 6, 2004 · Hunt Valley, Md
- D••••••• B••• S••••••••• I••• no RAUMJul 15, 2002 to Aug 12, 2002 · New York, Ny
- M•• S••••••••• I••• to E••••• J••••left Oct 6, 2004, registered Jan 12, 2009 (1559 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• S••••••••• I•••left Feb 6, 2004, registered Mar 2, 2004 (25 days) · Other
- D••••••• B••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Aug 12, 2002, registered Dec 20, 2002 (130 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address