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.
D•••• C•••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince May 9, 2017 · Fort Lee, Nj
- S•••••••• S••••••••• BD affiliatedAug 7, 2015 to May 9, 2017 · Short Hills, Nj
- M•• S••••••••• I••• unclassifiedMay 2, 2013 to Jun 26, 2015 · Princeton, Nj
- H••• S••••••••• •••• I••• BD affiliatedJun 12, 2012 to Apr 26, 2013 · New York, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedFeb 14, 2012 to May 25, 2012 · Melville, Ny
- H••• S••••••••• •••• I••• BD affiliatedMar 25, 2009 to Jan 9, 2012 · Brooklyn, Ny
- L•• F•••••••• L•• BD affiliatedSep 9, 2008 to Mar 18, 2009 · Staten Island, Ny
- E•••• N••••••• S••••••••• I••• formerJul 1, 2008 to Sep 2, 2008 · Staten Island, Ny
- P•• W••••• M••••••••• BD affiliatedMar 14, 2005 to Jun 27, 2008 · Somerville, Nj
- S•••••••• S••••••••• to C•••••••• G••••• M•••••• I•••left May 9, 2017, registered May 9, 2017 (0 days) · Other
- M•• S••••••••• I••• to S•••••••• S•••••••••left Jun 26, 2015, registered Aug 7, 2015 (42 days) · Other
- H••• S••••••••• •••• I••• to M•• S••••••••• I•••left Apr 26, 2013, registered May 2, 2013 (6 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to H••• S••••••••• •••• I•••left May 25, 2012, registered Jun 12, 2012 (18 days) · Other
- H••• S••••••••• •••• I••• to C•••••• O•• F•••••••• A••••••• L••left Jan 9, 2012, registered Feb 14, 2012 (36 days) · Other
- L•• F•••••••• L•• to H••• S••••••••• •••• I•••left Mar 18, 2009, registered Mar 25, 2009 (7 days) · Other
- E•••• N••••••• S••••••••• I••• to L•• F•••••••• L••left Sep 2, 2008, registered Sep 9, 2008 (7 days) · Other
- P•• W••••• M••••••••• to E•••• N••••••• S••••••••• I•••left Jun 27, 2008, registered Jul 1, 2008 (4 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address