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.
E••• A••••• B•••••••
- N•• A•••• M••••••••• L•• BD affiliated currentsince Jan 9, 2018 · Fair Lawn, Nj
- N•• A•••• M••••••••• L•• BD affiliatedMay 17, 2010 to Dec 31, 2017 · Fair Lawn, Nj
- R•••• A••••••• S•••••••• I••• independent RIAJul 31, 2007 to Jun 9, 2010 · Glenview, Il
- B••••••••• S••••••••• C••••••••• unclassifiedApr 5, 2004 to Jul 3, 2007 · Central Valley, Ny
- R•••• A••••••• S•••••••• I••• to N•• A•••• M••••••••• L••left Jun 9, 2010, registered May 17, 2010 (-23 days) · Other
- B••••••••• S••••••••• C••••••••• to R•••• A••••••• S•••••••• I•••left Jul 3, 2007, registered Jul 31, 2007 (28 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address