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.
B•••• A••••• G•••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Nov 15, 2022 · Florham Park, Nj
- R•• C•••••• M••••••• L•• national BDApr 20, 2017 to Nov 21, 2022 · Florham Park, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 4, 2011 to Apr 21, 2017 · Short Hills, Nj
- W•••• F•••• A••••••• wirehouseAug 1, 2008 to Nov 7, 2011 · Short Hills, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Aug 6, 2008 · Short Hills, Nj
- M••••• S•••••• D• I••• unclassifiedFeb 27, 2004 to Apr 2, 2007 · Westfield, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 10, 2002 to Mar 11, 2004 · Short Hills, Nj
- R•• C•••••• M••••••• L•• to O••••••••• • C•• I•••left Nov 21, 2022, registered Nov 15, 2022 (-6 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Apr 21, 2017, registered Apr 20, 2017 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 7, 2011, registered Nov 4, 2011 (-3 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left Aug 6, 2008, registered Aug 1, 2008 (-5 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Mar 11, 2004, registered Feb 27, 2004 (-13 days) · Other
- B•••• A••••• G••••••••• left R•• C•••••• M••••••• L•• for O••••••••• • C•• I••• (registered 2022-11-15)Nov 21, 2022 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address