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••••• L••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Lake Hiawatha, Nj
- C•••• I••••••••• S••••••• C•••• formerJul 20, 2010 to Oct 1, 2012 · Lake Hiawatha, Nj
- P•• W••••• M••••••••• BD affiliatedNov 20, 2006 to Jul 22, 2008 · Cedar Knolls, Nj
- C•••• I••••••••• S••••••• C•••• formerMar 12, 2004 to Sep 7, 2006 · Lake Hiawatha, Nj
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to C•••• I••••••••• S••••••• C••••left Jul 22, 2008, registered Jul 20, 2010 (728 days) · Other
- C•••• I••••••••• S••••••• C•••• to P•• W••••• M•••••••••left Sep 7, 2006, registered Nov 20, 2006 (74 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address