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.
N•••• A••• L••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 26, 2016 · Chester, Nj
- U•• F•••••••• S••••••• I••• wirehouseNov 7, 2006 to Jan 19, 2016 · Florham Park, Nj
- M••••• S•••••• D• I••• unclassifiedMay 9, 2003 to Oct 17, 2006 · Short Hills, Nj
- P••••••••• E••••• G••••• L•• unclassifiedJun 20, 2002 to May 14, 2003 · Short Hills, Nj
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 19, 2016, registered Jan 26, 2016 (7 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Oct 17, 2006, registered Nov 7, 2006 (21 days) · Other
- P••••••••• E••••• G••••• L•• to M••••• S•••••• D• I•••left May 14, 2003, registered May 9, 2003 (-5 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address