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.
T••••• F•••••••• D•••••
- A•••• P•••••• W••••• A••••••• independent RIA currentsince Mar 17, 2021 · Ponte Vedra Beach, Fl
- U••• F•••••••• P••••••• S••••••• formerJun 8, 2011 to Jul 22, 2016 · Hightstown, Nj
- E•••••••• A•••••••• L•• national BDJan 2, 2008 to May 31, 2011 · Edison, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Aug 29, 2007 · Princeton, Nj
- Q•••• • R•••••• I••• unclassifiedNov 18, 2003 to Oct 20, 2004 · Rocky Hill, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDJun 27, 2002 to Oct 6, 2003 · Princeton, Nj
- U••• F•••••••• P••••••• S••••••• to A•••• P•••••• W••••• A•••••••left Jul 22, 2016, registered Mar 17, 2021 (1699 days) · Other
- E•••••••• A•••••••• L•• to U••• F•••••••• P••••••• S•••••••left May 31, 2011, registered Jun 8, 2011 (8 days) · Affiliated broker-dealer or bank to a newly registered adviser
- B••• O• A•••••• I••••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Aug 29, 2007, registered Jan 2, 2008 (126 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to Q•••• • R•••••• I•••left Oct 6, 2003, registered Nov 18, 2003 (43 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address