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•••••• D•••••
- E•• F•••••••• A••••••• independent RIA currentsince Jun 30, 2021 · New York, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 4, 2016 to Jun 8, 2021 · Omaha, Ne
- H•••••• T••••••• • K•••• L•• independent RIAJan 30, 2015 to Jul 23, 2015 · Edison, Nj
- P•••• S••••••••• L•• no RAUMApr 8, 2008 to Sep 9, 2014 · East Brunswick, Nj
- M•• F•••••••• S•••••••• I••• formerJan 3, 2006 to Mar 28, 2008 · Elkridge, Md
- I••• S••••••••• I••• unclassifiedApr 21, 2005 to Nov 23, 2005 · Newark, Nj
- A• G• E•••••• • S•••• I••• unclassifiedJan 14, 2005 to Apr 20, 2005 · Short Hills, Nj
- I••• S••••••••• I••• unclassifiedJun 20, 2003 to Jan 20, 2005 · Newark, Nj
- M•• I•••••••• S•••••••• L•• to E•• F•••••••• A•••••••left Jun 8, 2021, registered Jun 30, 2021 (22 days) · Affiliated broker-dealer or bank to another
- H•••••• T••••••• • K•••• L•• to M•• I•••••••• S•••••••• L••left Jul 23, 2015, registered Jan 4, 2016 (165 days) · Other
- P•••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left Sep 9, 2014, registered Jan 30, 2015 (143 days) · Other
- M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Mar 28, 2008, registered Apr 8, 2008 (11 days) · Other
- I••• S••••••••• I••• to M•• F•••••••• S•••••••• I•••left Nov 23, 2005, registered Jan 3, 2006 (41 days) · Other
- A• G• E•••••• • S•••• I••• to I••• S••••••••• I•••left Apr 20, 2005, registered Apr 21, 2005 (1 days) · Other
- I••• S••••••••• I••• to A• G• E•••••• • S•••• I•••left Jan 20, 2005, registered Jan 14, 2005 (-6 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address