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•••••• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 8, 2016 · Florham Park, Nj
- M•• F•••••••• S•••••••• I••• formerMar 1, 2013 to Apr 12, 2016 · Paramus, Nj
- R•••••••• A••••••••• I••• N• unclassifiedFeb 6, 2003 to Mar 19, 2012 · Paramus, Nj
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 12, 2016, registered Apr 8, 2016 (-4 days) · Other · moved with a team
- R•••••••• A••••••••• I••• N• to M•• F•••••••• S•••••••• I•••left Mar 19, 2012, registered Mar 1, 2013 (347 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address