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••• E••••••
- C••• S••••• P••••••• BD affiliated currentsince Jul 21, 2023 · Morristown, Nj
- W•••• F•••• A••••••• wirehouseJan 16, 2015 to Jul 25, 2023 · Wayne, Nj
- O••••••••• • C•• I••• BD affiliatedJul 7, 2009 to Jan 21, 2015 · Florham Park, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 29, 2009 · Morristown, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 24, 2006 to Jun 1, 2009 · New Brunswick, Nj
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 10, 2003 to Jul 27, 2006 · Bedminster, Nj
- C•••••• L•• independent RIAMar 5, 2003 to Jul 10, 2003 · Westfield, Nj
- W•••• F•••• A••••••• to C••• S••••• P•••••••left Jul 25, 2023, registered Jul 21, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Jan 21, 2015, registered Jan 16, 2015 (-5 days) · Other
- M••••• S•••••• to O••••••••• • C•• I•••left Jul 29, 2009, registered Jul 7, 2009 (-22 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- A••••••••• A•••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Jul 27, 2006, registered Jul 24, 2006 (-3 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 10, 2003, registered Jul 10, 2003 (0 days) · corporate re-registration, not a move
- T••• E•••••• left W•••• F•••• A••••••• for C••• S••••• P••••••• (registered 2023-07-21)Jul 25, 2023 · a•••••• firm change · 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address