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.
M••• A•••• H•••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 22, 2024 · Red Bank, Nj
- P•• W••••• M••••••••• BD affiliatedApr 27, 2004 to Mar 26, 2024 · Fanwood, Nj
- W•••• F•••• A••••••• wirehouseNov 20, 2003 to May 18, 2004 · Summit, Nj
- Q•••• • R•••••• I••• unclassifiedNov 21, 2002 to Dec 4, 2003 · Summit, Nj
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Mar 26, 2024, registered Mar 22, 2024 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left May 18, 2004, registered Apr 27, 2004 (-21 days) · Other
- Q•••• • R•••••• I••• to W•••• F•••• A•••••••left Dec 4, 2003, registered Nov 20, 2003 (-14 days) · Other
- M••• A•••• H••••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2024-03-22)Mar 26, 2024 · 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address