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.
T••• C•••••• G••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 15, 2010 · Paramus, Nj
- P•• W••••• M••••••••• BD affiliatedSep 26, 2008 to Jan 28, 2010 · Tenafly, Nj
- E•••• N••••••• S••••••••• I••• formerJan 2, 2008 to Sep 19, 2008 · Butler, Nj
- C•••• I••••••••• S••••••• C•••• formerOct 4, 2006 to Jan 2, 2008 · Chicago, Il
- F•••• M•••••• S••••••••• C•••• unclassifiedAug 8, 2003 to Oct 21, 2003 · Paramus, Nj
- M••••• S•••••• D• I••• unclassifiedJul 15, 2002 to Aug 7, 2003 · Paramus, Nj
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jan 28, 2010, registered Feb 15, 2010 (18 days) · Other
- E•••• N••••••• S••••••••• I••• to P•• W••••• M•••••••••left Sep 19, 2008, registered Sep 26, 2008 (7 days) · Other
- C•••• I••••••••• S••••••• C•••• to E•••• N••••••• S••••••••• I•••left Jan 2, 2008, registered Jan 2, 2008 (0 days) · Other
- F•••• M•••••• S••••••••• C•••• to C•••• I••••••••• S••••••• C••••left Oct 21, 2003, registered Oct 4, 2006 (1079 days) · Other
- M••••• S•••••• D• I••• to F•••• M•••••• S••••••••• C••••left Aug 7, 2003, registered Aug 8, 2003 (1 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