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•••••• C•••••• C••••••••
- E•••••••• A•••••••• L•• national BD currentsince Mar 14, 2024 · Woodbridge, Nj
- L•• F•••••••• L•• BD affiliatedJul 5, 2019 to Mar 25, 2024 · Warren, Nj
- C•••••• S••••••••• M••••••••• I••• independent RIAMay 15, 2015 to Jul 8, 2019 · Morristown, Nj
- S•••••• A•••• M••••••••• L•• otherJan 28, 2013 to May 15, 2015 · Chatham, Nj
- R• S•••••• • C••• I••• formerApr 10, 2012 to Apr 4, 2013 · Chatham, Nj
- J•••••• M••••••• W••••• M••••••••• L•• independent RIAFeb 22, 2011 to Apr 10, 2012 · Florham Park, Nj
- T•• J•••••• M••••••• I••••••••• A••••••• G•••• L•• unclassifiedJan 5, 2005 to Dec 10, 2007 · Millburn, Nj
- L•• F•••••••• L•• to E•••••••• A•••••••• L••left Mar 25, 2024, registered Mar 14, 2024 (-11 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••••••• M••••••••• I••• to L•• F•••••••• L••left Jul 8, 2019, registered Jul 5, 2019 (-3 days) · RIA to RIA
- S•••••• A•••• M••••••••• L•• to C•••••• S••••••••• M••••••••• I•••left May 15, 2015, registered May 15, 2015 (0 days) · Other
- R• S•••••• • C••• I••• to S•••••• A•••• M••••••••• L••left Apr 4, 2013, registered Jan 28, 2013 (-66 days) · Other
- J•••••• M••••••• W••••• M••••••••• L•• to R• S•••••• • C••• I•••left Apr 10, 2012, registered Apr 10, 2012 (0 days) · Other
- T•• J•••••• M••••••• I••••••••• A••••••• G•••• L•• to J•••••• M••••••• W••••• M••••••••• L••left Dec 10, 2007, registered Feb 22, 2011 (1170 days) · Other
- R•••••• C•••••• C•••••••• left L•• F•••••••• L•• for E•••••••• A•••••••• L•• (registered 2024-03-14)Mar 25, 2024 · 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address