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.
J••• F• K•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 29, 2022 · Madison, Nj
- P•• W••••• M••••••••• BD affiliatedApr 2, 2004 to May 3, 2022 · Summit, Nj
- Q•••• • R•••••• I••• unclassifiedNov 20, 2002 to Apr 9, 2004 · Sterling, Nj
- M••••• S•••••• D• I••• unclassifiedJun 27, 2002 to Jul 22, 2002 · Morristown, Nj
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left May 3, 2022, registered Apr 29, 2022 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- Q•••• • R•••••• I••• to P•• W••••• M•••••••••left Apr 9, 2004, registered Apr 2, 2004 (-7 days) · Other
- M••••• S•••••• D• I••• to Q•••• • R•••••• I•••left Jul 22, 2002, registered Nov 20, 2002 (121 days) · Other
- J••• F• K••••• left P•• W••••• M••••••••• for J••• M••••• S••••••••• L•• (registered 2022-04-29)May 3, 2022 · 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address