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.
R•••••• L•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 30, 2020 · St. Petersburg, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 4, 2018 · St. Petersburg, Fl
- S•••••••• I••••••••• M••••••••• formerJan 31, 2017 to Mar 9, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 4, 2011 to Oct 4, 2016 · Piscataway, Nj
- T• A••••••••• I••• formerJan 4, 2011 to Oct 4, 2016 · Piscataway, Nj
- A••••• A•• P••••••• S••••••• BD affiliatedNov 9, 2007 to May 20, 2008 · Hackensack, Nj
- C•••••• S••••• • C••• I••• national BDMay 3, 2002 to Apr 9, 2007 · Millburn, Nj
- S•••••••• I••••••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 9, 2018, registered Oct 4, 2018 (209 days) · Affiliated broker-dealer or bank to another · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 4, 2016, registered Jan 4, 2011 (-2100 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to S•••••••• I••••••••• M•••••••••left Oct 4, 2016, registered Jan 31, 2017 (119 days) · channel change inside one enterprise, not a move
- A••••• A•• P••••••• S••••••• to T• A••••••••• I••••••••• M••••••••• L••left May 20, 2008, registered Jan 4, 2011 (959 days) · Other
- C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••left Apr 9, 2007, registered Nov 9, 2007 (214 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