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••••••• O•••••••• J•••••••
- M••••• S•••••• wirehouse currentsince Mar 17, 2022 · Paramus, Nj
- B• R•••• W••••• A•••••••• I••• BD affiliatedMar 22, 2021 to Mar 2, 2022 · Paramus, Nj
- W••••••• E•••• • C••••••• I••• formerOct 5, 2018 to Apr 13, 2021 · Paramus, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 9, 2018 · Paramus, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Paramus, Nj
- M••••• S•••••• D• I••• unclassifiedFeb 8, 2006 to Apr 2, 2007 · Paramus, Nj
- B• R•••• W••••• A•••••••• I••• to M••••• S••••••left Mar 2, 2022, registered Mar 17, 2022 (15 days) · Affiliated broker-dealer or bank to wirehouse
- W••••••• E•••• • C••••••• I••• to B• R•••• W••••• A•••••••• I•••left Apr 13, 2021, registered Mar 22, 2021 (-22 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W••••••• E•••• • C••••••• I•••left Oct 9, 2018, registered Oct 5, 2018 (-4 days) · Wirehouse to independent RIA · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- D••••••• O•••••••• J••••••• left B• R•••• W••••• A•••••••• I••• for M••••• S•••••• (registered 2022-03-17)Mar 2, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address