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.
L•••• J•• S•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 1, 2023 · New York, Ny
- C••••• A•••••• N••••••• L•• formerMar 31, 2021 to May 4, 2023 · Georgetown, Ct
- N•• C•••••• F•••••••• G••••• L•• formerOct 28, 2002 to Apr 5, 2004 · Princeton, Nj
- C••••• A•••••• N••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 4, 2023, registered May 1, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- N•• C•••••• F•••••••• G••••• L•• to C••••• A•••••• N••••••• L••left Apr 5, 2004, registered Mar 31, 2021 (6204 days) · Other
- L•••• J•• S••••••• left C••••• A•••••• N••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-05-01)May 4, 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
- National broker-dealer RIAderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address