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.
M•••••• J••• L•••••
- P•••••• P••• W••••• P•••••••• L•• independent RIA currentsince May 1, 2023 · Madison, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 10, 2010 to May 2, 2023 · Florham Park, Nj
- W•••• F•••• A••••••• wirehouseJan 8, 2004 to Sep 14, 2010 · Short Hills, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••• P••• W••••• P•••••••• L••left May 2, 2023, registered May 1, 2023 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 14, 2010, registered Sep 10, 2010 (-4 days) · Wirehouse to wirehouse
- M•••••• J••• L••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•••••• P••• W••••• P•••••••• L•• (registered 2023-05-01)May 2, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address