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•••••• G••••• S•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 13, 2020 · Portland, Me
- F•••• A••••• A••••••• S•••••••• I••• formerNov 29, 2012 to May 18, 2018 · Union, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 21, 2004 to Nov 27, 2012 · Bloomsbury, Nj
- E•••••••• A•••••••• L•• national BDJul 12, 2002 to Oct 24, 2002 · Woodbridge , Nj
- F•••• A••••• A••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left May 18, 2018, registered Oct 13, 2020 (879 days) · Affiliated broker-dealer or bank to another
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to F•••• A••••• A••••••• S•••••••• I•••left Nov 27, 2012, registered Nov 29, 2012 (2 days) · Other
- E•••••••• A•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 24, 2002, registered Jul 21, 2004 (636 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address