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.
G•••••••• A•• R••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 17, 2025 · Newtown, Pa
- C••••••••• F•••••••• N•••••• national BDMay 24, 2024 to Feb 4, 2025 · Warren, Nj
- B•••••••• I••••••••• M••••••••• L•• asset managerSep 29, 2006 to Jan 18, 2023 · Plainsboro, Nj
- M•••••• L•••• I••••••••• M••••••• L• unclassifiedJan 19, 1999 to Sep 29, 2006 · Princeton, Nj
- B•••••••• I••••••••• M••••••••• L•• to C••••••••• F•••••••• N••••••left Jan 18, 2023, registered May 24, 2024 (492 days) · Other
- M•••••• L•••• I••••••••• M••••••• L• to B•••••••• I••••••••• M••••••••• L••left Sep 29, 2006, registered Sep 29, 2006 (0 days) · corporate re-registration, not a move
- G•••••••• A•• R•••••• left B•••••••• I••••••••• M••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-05-24)Jan 18, 2023 · Advisor changed firm · fact
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address