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.
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M•••••• J••• D•••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 29, 2023 · Short Hills, Nj
- S•••••••• S••••••••• BD affiliatedJan 21, 2016 to Oct 13, 2023 · Perth Amboy, Nj
- I••••• F•••••••• C••••••••• formerOct 13, 2015 to Jan 6, 2016 · Denville, Nj
- E•••• N••••••• S••••••••• I••• formerJul 28, 2011 to Oct 15, 2015 · Succasunna, Nj
- P•• W••••• M••••••••• BD affiliatedDec 12, 2008 to Jul 27, 2011 · Hackensack, Nj
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Feb 2, 2009 · Hoboken, Nj
- I••• S••••••••• I••• unclassifiedSep 11, 2006 to May 27, 2008 · Hoboken, Nj
- W•••• F•••• A••••••• wirehouseAug 23, 2006 to Sep 7, 2006 · Ringwood, Nj
- S•••••••• S••••••••• to W•••• F•••• A•••••••left Oct 13, 2023, registered Sep 29, 2023 (-14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- I••••• F•••••••• C••••••••• to S•••••••• S•••••••••left Jan 6, 2016, registered Jan 21, 2016 (15 days) · Other · moved with a team
- E•••• N••••••• S••••••••• I••• to I••••• F•••••••• C•••••••••left Oct 15, 2015, registered Oct 13, 2015 (-2 days) · Other · moved with a team
- P•• W••••• M••••••••• to E•••• N••••••• S••••••••• I•••left Jul 27, 2011, registered Jul 28, 2011 (1 days) · Other
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Feb 2, 2009, registered Dec 12, 2008 (-52 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to I••• S••••••••• I•••left Sep 7, 2006, registered Sep 11, 2006 (4 days) · Other
- M•••••• J••• D••••••• left S•••••••• S••••••••• for W•••• F•••• A••••••• (registered 2023-09-29)Oct 13, 2023 · 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