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.
T••••• D••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 9, 2021 · Spring Lake, Nj
- M•• S••••••••• I••• unclassifiedJan 10, 2017 to Jun 9, 2021 · Lakewood, Nj
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Aug 23, 2016 · East Brunswick, Nj
- C••••• I••••••••• S••••••• L•• formerJul 8, 2013 to Jan 21, 2014 · Edison, Nj
- N•• E•••••• S••••••••• C••••••••• formerDec 17, 2011 to Jul 1, 2013 · Wall Township, Nj
- P•••• S••••••••• L•• no RAUMJun 13, 2011 to Jul 28, 2011 · Newark, Nj
- M•• S••••••••• I••• to L•• F•••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to M•• S••••••••• I•••left Aug 23, 2016, registered Jan 10, 2017 (140 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to C••••• I••••••••• S••••••• L••left Jul 1, 2013, registered Jul 8, 2013 (7 days) · Other
- P•••• S••••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Jul 28, 2011, registered Dec 17, 2011 (142 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address