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.
N•••••••• E••••• J••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 21, 2020 · Medford, Nj
- F•• W••••• M••••••••• L•• formerMar 22, 2016 to Dec 31, 2020 · Medford, Nj
- F•• W••••• M••••••••• L•• formerFeb 12, 2014 to Mar 23, 2016 · Medford, Nj
- M••••• S•••••• wirehouseAug 18, 2010 to Jan 31, 2014 · Lawrenceville, Nj
- U•• F•••••••• S••••••• I••• wirehouseJun 26, 2002 to Sep 1, 2010 · Princeton, Nj
- F•• W••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2020, registered Aug 21, 2020 (-132 days) · RIA to affiliated broker-dealer or bank · moved with a team
- F•• W••••• M••••••••• L•• to F•• W••••• M••••••••• L••left Mar 23, 2016, registered Mar 22, 2016 (-1 days) · channel change inside one enterprise, not a move · moved with a team
- M••••• S•••••• to F•• W••••• M••••••••• L••left Jan 31, 2014, registered Feb 12, 2014 (12 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 1, 2010, registered Aug 18, 2010 (-14 days) · Wirehouse to wirehouse
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address