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.
A•••••• J••••• M•••••
- O••••••••• • C•• I••• BD affiliated currentsince Oct 31, 2016 · Florham Park, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDApr 12, 2013 to Oct 24, 2016 · Roseland, Nj
- P•••••• A•••••• G••••• L•• BD affiliatedNov 8, 2011 to Apr 10, 2013 · Morristown, Nj
- L•• F•••••••• L•• BD affiliatedApr 30, 2010 to Apr 24, 2013 · Morristown, Nj
- O••••••••• • C•• I••• BD affiliatedDec 7, 2004 to May 5, 2010 · Florham Park, Nj
- R•• C•••••• M••••••• L•• national BDAug 14, 2002 to Dec 16, 2004 · Florham Park, Nj
- A••••••••• F•••••••• S•••••••• L•• to O••••••••• • C•• I•••left Oct 24, 2016, registered Oct 31, 2016 (7 days) · Other
- L•• F•••••••• L•• to P•••••• A•••••• G••••• L••left Apr 24, 2013, registered Nov 8, 2011 (-533 days) · Other
- P•••••• A•••••• G••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 10, 2013, registered Apr 12, 2013 (2 days) · Other
- O••••••••• • C•• I••• to L•• F•••••••• L••left May 5, 2010, registered Apr 30, 2010 (-5 days) · Other
- R•• C•••••• M••••••• L•• to O••••••••• • C•• I•••left Dec 16, 2004, registered Dec 7, 2004 (-9 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
- 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