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••••• E••• T•••••
- N••• C••••••••• BD affiliated currentsince Oct 30, 2018 · Roselle Park, Nj
- K••••• A•••••••• I••• BD affiliatedAug 20, 2018 to Oct 17, 2018 · Livingston, Nj
- S•• I••••••••• A•••••••• I••• formerJul 23, 2018 to Aug 6, 2018 · Livingston, Nj
- B• R•••• W••••• A•••••••• I••• BD affiliatedJan 19, 2011 to Aug 21, 2013 · Iselin, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to May 11, 2010 · New York, Ny
- A••••••••• A•••••• S•••••••• I••• unclassifiedAug 16, 2007 to Oct 5, 2009 · New York, Ny
- K••••• A•••••••• I••• to N••• C•••••••••left Oct 17, 2018, registered Oct 30, 2018 (13 days) · Affiliated broker-dealer or bank to another
- S•• I••••••••• A•••••••• I••• to K••••• A•••••••• I•••left Aug 6, 2018, registered Aug 20, 2018 (14 days) · Affiliated broker-dealer or bank to another · moved with a team
- B• R•••• W••••• A•••••••• I••• to S•• I••••••••• A•••••••• I•••left Aug 21, 2013, registered Jul 23, 2018 (1797 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B• R•••• W••••• A•••••••• I•••left May 11, 2010, registered Jan 19, 2011 (253 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address