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.
A••••• S•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · River Vale, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 15, 2022 to Mar 31, 2025 · Paramus, Nj
- P•• W••••• M••••••••• BD affiliatedSep 11, 2019 to Apr 12, 2022 · Leonia, Nj
- J••• M••••• S••••••••• L•• wirehouseMay 9, 2018 to Sep 10, 2019 · Norwood, Nj
- P•• W••••• M••••••••• BD affiliatedAug 17, 2016 to May 4, 2018 · Emerson, Nj
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 25, 2014 to Jun 22, 2016 · Greenville, Sc
- W•••• F•••• A••••••• wirehouseSep 22, 2010 to Jun 23, 2014 · Greenville, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 12, 2022, registered Jun 15, 2022 (64 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••left Sep 10, 2019, registered Sep 11, 2019 (1 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left May 4, 2018, registered May 9, 2018 (5 days) · Affiliated broker-dealer or bank to wirehouse
- V••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••left Jun 22, 2016, registered Aug 17, 2016 (56 days) · Other
- W•••• F•••• A••••••• to V••• F•••••••• A•••••••• I•••left Jun 23, 2014, registered Jun 25, 2014 (2 days) · Other
- A••••• S••• left P•• W••••• M••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-06-15)Apr 12, 2022 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address