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•••••• F• C•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 28, 2018 · Denville, Nj
- P•• W••••• M••••••••• BD affiliatedNov 3, 2017 to Jul 2, 2018 · Mahwah, Nj
- S•••••••• S••••••••• BD affiliatedMar 17, 2017 to Nov 1, 2017 · South Amboy, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 16, 2014 to Mar 6, 2017 · Maywood, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 20, 2009 to Dec 15, 2014 · Morristown, Nj
- T• A••••••••• I••• formerApr 20, 2009 to Mar 6, 2017 · Morristown, Nj
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Jul 2, 2018, registered Jun 28, 2018 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• S••••••••• to P•• W••••• M•••••••••left Nov 1, 2017, registered Nov 3, 2017 (2 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• S•••••••••left Mar 6, 2017, registered Mar 17, 2017 (11 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 6, 2017, registered Dec 16, 2014 (-811 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 15, 2014, registered Apr 20, 2009 (-2065 days) · channel change inside one enterprise, 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address