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••••• S••••• F•••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Apr 29, 2021 · New Providence, Nj
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 21, 2020 to May 4, 2021 · Chatham, Nj
- F•• W••••• M••••••••• L•• formerMar 22, 2016 to Dec 31, 2020 · Chatham, Nj
- F•• W••••• M••••••••• L•• formerFeb 10, 2010 to Mar 23, 2016 · Chatham, Nj
- S••••••• F•••••••• S•••••••• I••• formerJun 3, 2004 to Feb 5, 2010 · Parsippany, Nj
- W• G••••••• S••••••••• I••• unclassifiedMar 3, 2003 to Jun 16, 2004 · East Hanover, Nj
- C•••••••• I••••••••• R••••••• A•••••••• I••• to J• W• C••• A•••••••• I•••left May 4, 2021, registered Apr 29, 2021 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- F•• W••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2020, registered Aug 21, 2020 (-132 days) · RIA to affiliated broker-dealer or bank · moved with a team
- F•• W••••• M••••••••• L•• to F•• W••••• M••••••••• L••left Mar 23, 2016, registered Mar 22, 2016 (-1 days) · channel change inside one enterprise, not a move · moved with a team
- S••••••• F•••••••• S•••••••• I••• to F•• W••••• M••••••••• L••left Feb 5, 2010, registered Feb 10, 2010 (5 days) · Other
- W• G••••••• S••••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Jun 16, 2004, registered Jun 3, 2004 (-13 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address