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.
F•••• D•••••
- O•••• I••••••••• I••• BD affiliated currentsince Mar 21, 2024 · Green Brook, Nj
- C••• F•••••••• S•••••••• L••• formerJul 5, 2019 to Mar 20, 2024 · Somerset, Nj
- B••••• T•••• independent RIAApr 19, 2017 to Nov 19, 2018 · Morristown, Nj
- C••• F•••••••• S•••••••• L••• to O•••• I••••••••• I•••left Mar 20, 2024, registered Mar 21, 2024 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••••• T•••• to C••• F•••••••• S•••••••• L•••left Nov 19, 2018, registered Jul 5, 2019 (228 days) · RIA to affiliated broker-dealer or bank
- F•••• D••••• left C••• F•••••••• S•••••••• L••• for O•••• I••••••••• I••• (registered 2024-03-21)Mar 20, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address