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.
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- B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated currentsince Jan 24, 2014 · Red Bank, Nj
- G••••• S•••• I••••••••• A••••••• S•••••••• L•• independent RIAMar 7, 2011 to Feb 7, 2014 · Red Bank, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 8, 2009 · Toms River, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 23, 2006 to Jun 1, 2009 · Toms River, Nj
- G••••• S•••• I••••••••• A••••••• S•••••••• L•• to B••••••• F• E•••••• • C••••••• I•••••••••left Feb 7, 2014, registered Jan 24, 2014 (-14 days) · Other
- M••••• S•••••• to G••••• S•••• I••••••••• A••••••• S•••••••• L••left Oct 8, 2009, registered Mar 7, 2011 (515 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address