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•••• R•••••• B••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Dec 13, 2019 · Saddle River, Nj
- W••• P•••••• C••••• A•••••••• L•• independent RIAMar 5, 2019 to Jul 18, 2019 · Florham Park, Nj
- U•• F•••••••• S••••••• I••• wirehouseJan 4, 2016 to Mar 19, 2019 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedMar 29, 2006 to Oct 15, 2008 · New York, Ny
- W••• P•••••• C••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 18, 2019, registered Dec 13, 2019 (148 days) · RIA to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W••• P•••••• C••••• A•••••••• L••left Mar 19, 2019, registered Mar 5, 2019 (-14 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Oct 15, 2008, registered Jan 4, 2016 (2637 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address