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•••• N••• G•••••
- T•••••••• A••••••• G••••• I••• BD affiliated currentsince Dec 4, 2009 · South Melville, Ny
- I•••••••• A•••••••• L•• BD affiliatedAug 13, 2008 to Jul 22, 2009 · Clifton, Nj
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMar 5, 2008 to Jul 17, 2008 · Park Ridge, Nj
- I•••••••• A•••••••• L•• to T•••••••• A••••••• G••••• I•••left Jul 22, 2009, registered Dec 4, 2009 (135 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to I•••••••• A•••••••• L••left Jul 17, 2008, registered Aug 13, 2008 (27 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address