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•••••• R•••• W••••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Feb 6, 2023 · Jersey City, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 2, 2020 to Jan 24, 2023 · New York, Ny
- R•• S••••••••• I••• BD affiliatedOct 24, 2017 to Jul 24, 2020 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 13, 2011 to Sep 22, 2017 · New York, Ny
- P•• W••••• M••••••••• BD affiliatedFeb 7, 2007 to May 7, 2007 · Princeton, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Feb 5, 2007 · Eatontown, Nj
- Q•••• • R•••••• I••• unclassifiedAug 27, 2002 to Oct 20, 2004 · Freehold, Nj
- C•••••••• G••••• M•••••• I••• to S••••• W••••• A•••••••• I•••left Jan 24, 2023, registered Feb 6, 2023 (13 days) · Other
- R•• S••••••••• I••• to C•••••••• G••••• M•••••• I•••left Jul 24, 2020, registered Sep 2, 2020 (40 days) · RIA to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to R•• S••••••••• I•••left Sep 22, 2017, registered Oct 24, 2017 (32 days) · Other
- P•• W••••• M••••••••• to C•••••••• G••••• M•••••• I•••left May 7, 2007, registered Jun 13, 2011 (1498 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Feb 5, 2007, registered Feb 7, 2007 (2 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
- J•••••• R•••• W•••••••• left C•••••••• G••••• M•••••• I••• for S••••• W••••• A•••••••• I••• (registered 2023-02-06)Jan 24, 2023 · 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
- No RAUM reportedderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address