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.
S••• P•••••• R••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 11, 2024 · Eatontown, Nj
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 2, 2018 to Dec 11, 2024 · Somerville, Nj
- S•••••••• S••••••••• BD affiliatedSep 11, 2015 to Apr 2, 2018 · Toms River, Nj
- W•••• F•••• A••••••• wirehouseAug 26, 2011 to Sep 3, 2015 · Oakhurst, Nj
- P•• W••••• M••••••••• BD affiliatedMay 8, 2009 to Aug 29, 2011 · Eatontown, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 27, 2007 to May 4, 2009 · Old Bridge, Nj
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Dec 11, 2024, registered Dec 11, 2024 (0 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 2, 2018, registered Apr 2, 2018 (0 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S•••••••• S•••••••••left Sep 3, 2015, registered Sep 11, 2015 (8 days) · Other
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Aug 29, 2011, registered Aug 26, 2011 (-3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left May 4, 2009, registered May 8, 2009 (4 days) · Other
- S••• P•••••• R•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2024-12-11)Dec 11, 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
- 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