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•••••• F•••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jan 24, 2014 · Warren, Nj
- S••••••• F•••••••• S•••••••• I••• formerJun 9, 2011 to Jan 24, 2013 · Parsippany, Nj
- N•• E•••••• S••••••••• C••••••••• formerFeb 24, 2006 to May 24, 2011 · Fairfield, Nj
- H•••••• T••••••• • K•••• L•• independent RIAJun 4, 2003 to Jan 3, 2005 · Edison, Nj
- H•••••• T••••••• • K•••• L•• independent RIAJul 30, 2002 to Jun 4, 2003 · Edison, Nj
- S••••••• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Jan 24, 2013, registered Jan 24, 2014 (365 days) · Other
- N•• E•••••• S••••••••• C••••••••• to S••••••• F•••••••• S•••••••• I•••left May 24, 2011, registered Jun 9, 2011 (16 days) · Other
- H•••••• T••••••• • K•••• L•• to N•• E•••••• S••••••••• C•••••••••left Jan 3, 2005, registered Feb 24, 2006 (417 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