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.
F•••• J•••• F•••
- V••••••••• A••••••• S••••••• BD affiliated currentsince May 4, 2021 · Woodbury, Ny
- W••••••• C•••••• M••••••• L•• formerJul 11, 2014 to Jun 9, 2021 · W•••••••, Ct
- L•• F•••••••• L•• BD affiliatedOct 14, 2011 to Aug 5, 2014 · Paramus, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 7, 2011 · Paramus, Nj
- M••••• S•••••• • C•• L•• unclassifiedOct 5, 2007 to Jun 1, 2009 · Paramus, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 23, 2004 to Oct 16, 2007 · Florham Park, Nj
- U•• F•••••••• S••••••• I••• wirehouseMar 27, 2001 to Feb 3, 2004 · New York, Ny
- W••••••• C•••••• M••••••• L•• to V••••••••• A••••••• S•••••••left Jun 9, 2021, registered May 4, 2021 (-36 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to W••••••• C•••••• M••••••• L••left Aug 5, 2014, registered Jul 11, 2014 (-25 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Nov 7, 2011, registered Oct 14, 2011 (-24 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Oct 16, 2007, registered Oct 5, 2007 (-11 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Feb 3, 2004, registered Jan 23, 2004 (-11 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