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.
S•••• M•••••• R••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 31, 2017 · Norwood, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 20, 2005 to Nov 3, 2017 · Suffern, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 24, 2002 to Dec 31, 2004 · Little Falls, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C••••••••• F•••••••• N••••••left Nov 3, 2017, registered Oct 31, 2017 (-3 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 31, 2004, registered Jan 20, 2005 (20 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address