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.
F•••• E••••• P•••••
- W•••• F•••• A••••••• wirehouse currentsince May 28, 2019 · Mountain Lakes, Nj
- U•• F•••••••• S••••••• I••• wirehouseFeb 13, 2015 to Jun 4, 2019 · Florham Park, Nj
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Feb 13, 2015 · Mountain Lakes, Nj
- A• G• E•••••• • S•••• I••• unclassifiedNov 20, 2006 to Jan 1, 2008 · Rockaway, Nj
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerAug 14, 2002 to Nov 10, 2006 · New Y•••, Ny
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jun 4, 2019, registered May 28, 2019 (-7 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Feb 13, 2015, registered Feb 13, 2015 (0 days) · Wirehouse to wirehouse
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- N•• Y••• L••• I••••••••• M••••••••• L•• to A• G• E•••••• • S•••• I•••left Nov 10, 2006, registered Nov 20, 2006 (10 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address