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.
B•••• W•••••• S••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Point Pleasant, Nj
- S••••••••• A•••••• A•••••••• I••• formerJul 29, 2019 to Jun 14, 2024 · Point Pleasant, Nj
- O•••• W•••••• I••• BD affiliatedAug 15, 2007 to Jul 31, 2019 · Ellington, Ct
- W•••• A••••••• S••••••• formerFeb 2, 2007 to Aug 13, 2007 · Manasquan, Nj
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- O•••• W•••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jul 31, 2019, registered Jul 29, 2019 (-2 days) · channel change inside one enterprise, not a move
- W•••• A••••••• S••••••• to O•••• W•••••• I•••left Aug 13, 2007, registered Aug 15, 2007 (2 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address