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.
C••••••••• R••••• D•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 8, 2019 · Holmdel, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedFeb 26, 2015 to Dec 18, 2019 · Edison, Nj
- O••••••••• • C•• I••• BD affiliatedJul 15, 2008 to Feb 20, 2015 · Florham Park, Nj
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 7, 2008 to Jul 14, 2008 · Roseland, Nj
- J••••• M••••••••• S•••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 18, 2019, registered Nov 8, 2019 (-40 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to J••••• M••••••••• S•••• L••left Feb 20, 2015, registered Feb 26, 2015 (6 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to O••••••••• • C•• I•••left Jul 14, 2008, registered Jul 15, 2008 (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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address