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•••• M• E••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 17, 2020 · Nutley, Nj
- V••••• R••••••••• independent RIANov 25, 2014 to Jun 18, 2020 · Ridgewood, Nj
- L•• F•••••••• L•• BD affiliatedApr 20, 2009 to Nov 29, 2018 · Ridgewood, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 1, 2002 to Apr 21, 2009 · Hoboken, Nj
- V••••• R••••••••• to C••••••••• F•••••••• N••••••left Jun 18, 2020, registered Jun 17, 2020 (-1 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to V••••• R•••••••••left Nov 29, 2018, registered Nov 25, 2014 (-1465 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Apr 21, 2009, registered Apr 20, 2009 (-1 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