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.
S•••••• A••••• C••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Flemington, Nj
- W••••• S••••• S••••••••• I••• formerJul 12, 2011 to Sep 5, 2013 · Somerset, Nj
- N•• E•••••• S••••••••• C••••••••• formerJul 12, 2011 to Jan 2, 2015 · Aurora, Il
- T•••• S••••• S••••••••• I••• formerJul 12, 2011 to Sep 5, 2013 · Somerset, Nj
- M•• F•••••••• S•••••••• I••• formerJul 22, 2009 to Mar 25, 2017 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseMar 7, 2008 to May 13, 2009 · Warren, Nj
- M•• F•••••••• S•••••••• I••• to W••••• S••••• S••••••••• I•••left Mar 25, 2017, registered Jul 12, 2011 (-2083 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left Jan 2, 2015, registered Mar 25, 2017 (813 days) · Other · moved with a team
- W••••• S••••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Sep 5, 2013, registered Jul 12, 2011 (-786 days) · channel change inside one enterprise, not a move
- T•••• S••••• S••••••••• I••• to W••••• S••••• S••••••••• I•••left Sep 5, 2013, registered Jul 12, 2011 (-786 days) · channel change inside one enterprise, not a move
- U•• F•••••••• S••••••• I••• to M•• F•••••••• S•••••••• I•••left May 13, 2009, registered Jul 22, 2009 (70 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address