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.
J••• L• C••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Dec 7, 2022 · Bedminster, Nj
- E•••• S••••••••• L•• BD affiliatedApr 13, 2022 to Nov 8, 2022 · Edison, Nj
- E•••••••• A•••••••• L•• national BDApr 26, 2019 to Dec 21, 2020 · Wall, Nj
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJun 27, 2017 to Dec 13, 2018 · Lakewood, Nj
- P•••• S••••••••• L•• no RAUMSep 14, 2012 to Jun 9, 2014 · Toms River, Nj
- C••• B•••••••• S•••••••• I••• formerJun 18, 2010 to Feb 1, 2012 · Rahway, Nj
- N•• E•••••• S••••••••• C••••••••• formerSep 10, 2009 to Dec 21, 2009 · Manasquan, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 29, 2009 · Toms River, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 7, 2006 to Jun 1, 2009 · Toms River, Nj
- V•••• F•••••••• A•••••••• I••• BD affiliatedMay 8, 2003 to Jan 17, 2006 · Cherry Hill, Nj
- E•••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Nov 8, 2022, registered Dec 7, 2022 (29 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to E•••• S••••••••• L••left Dec 21, 2020, registered Apr 13, 2022 (478 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to E•••••••• A•••••••• L••left Dec 13, 2018, registered Apr 26, 2019 (134 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to A••••••• F•••••••• A•••••••• L••left Jun 9, 2014, registered Jun 27, 2017 (1114 days) · Other
- C••• B•••••••• S•••••••• I••• to P•••• S••••••••• L••left Feb 1, 2012, registered Sep 14, 2012 (226 days) · Other
- N•• E•••••• S••••••••• C••••••••• to C••• B•••••••• S•••••••• I•••left Dec 21, 2009, registered Jun 18, 2010 (179 days) · Other
- M••••• S•••••• to N•• E•••••• S••••••••• C•••••••••left Jul 29, 2009, registered Sep 10, 2009 (43 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to C•••••••• G••••• M•••••• I•••left Jan 17, 2006, registered Mar 7, 2006 (49 days) · Other
- J••• L• C•••• left E•••• S••••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2022-12-07)Nov 8, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address