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.
B•••• T••••• C•••
- L•• F•••••••• L•• BD affiliated currentsince Jan 23, 2023 · Gillette, Nj
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Apr 27, 2018 · Gilette, Nj
- P•••••• A•••••• G••••• L•• BD affiliatedFeb 23, 2017 to Apr 26, 2018 · Cedar Knolls, Nj
- M• H••••••• S••••••••• I••• BD affiliatedJan 19, 2017 to Feb 22, 2017 · Morristown, Nj
- C••• L•• BD affiliatedDec 7, 2015 to Feb 16, 2017 · Cedar Knolls, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 4, 2002 to Dec 4, 2008 · Short Hills, Nj
- P•••••• A•••••• G••••• L•• to W••••••••• A••••••• P••••••• L••left Apr 26, 2018, registered Apr 27, 2018 (1 days) · RIA to RIA
- M• H••••••• S••••••••• I••• to P•••••• A•••••• G••••• L••left Feb 22, 2017, registered Feb 23, 2017 (1 days) · Other
- C••• L•• to M• H••••••• S••••••••• I•••left Feb 16, 2017, registered Jan 19, 2017 (-28 days) · Other
- C•••••••• G••••• M•••••• I••• to C••• L••left Dec 4, 2008, registered Dec 7, 2015 (2559 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