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.
J•••• L• P•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 17, 2018 · Red Bank, Nj
- O••••••••• • C•• I••• BD affiliatedJan 26, 2017 to Feb 2, 2018 · Red Bank, Nj
- E•••••• C•••••• M••••••••• L•• formerJul 22, 2016 to Dec 15, 2016 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 21, 2016 to Feb 16, 2016 · Red Bank, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Apr 17, 2015 · Red Bank, Nj
- T• A••••••••• I••• formerMay 24, 2004 to Apr 17, 2015 · Edison, Nj
- O••••••••• • C•• I••• to C•••••• S••••• • C••• I•••left Feb 2, 2018, registered Jul 17, 2018 (165 days) · Other
- E•••••• C•••••• M••••••••• L•• to O••••••••• • C•• I•••left Dec 15, 2016, registered Jan 26, 2017 (42 days) · Other
- O••••••••• • C•• I••• to E•••••• C•••••• M••••••••• L••left Feb 16, 2016, registered Jul 22, 2016 (157 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to O••••••••• • C•• I•••left Apr 17, 2015, registered Jan 21, 2016 (279 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 17, 2015, registered Apr 25, 2006 (-3279 days) · channel change inside one enterprise, not a move · moved with a team
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address