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.
R•••••• M•••••• C•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 6, 2019 · Tiger, Ga
- E•••••••• A•••••••• L•• national BDJan 18, 2018 to Feb 21, 2019 · Woodbridge, Nj
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 18, 2017 to Jan 4, 2018 · Windsor, Nj
- W•••• A••••••• S••••••• formerJan 19, 2012 to Dec 31, 2016 · Point Pleasant, Nj
- C••••••• S••••••••• I••• BD affiliatedMar 25, 2011 to Aug 17, 2011 · Sicklerville, Nj
- L•• F•••••••• L•• BD affiliatedApr 8, 2010 to Mar 29, 2011 · Bayville, Nj
- T• W••••• M••••••••• S••••••• I••• unclassifiedAug 19, 2008 to Mar 3, 2010 · Tinton Falls, Nj
- E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 21, 2019, registered Mar 6, 2019 (13 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E•••••••• A•••••••• L••left Jan 4, 2018, registered Jan 18, 2018 (14 days) · Affiliated broker-dealer or bank to another
- W•••• A••••••• S••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 31, 2016, registered Jul 18, 2017 (199 days) · Other
- C••••••• S••••••••• I••• to W•••• A••••••• S•••••••left Aug 17, 2011, registered Jan 19, 2012 (155 days) · Other
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Mar 29, 2011, registered Mar 25, 2011 (-4 days) · Other
- T• W••••• M••••••••• S••••••• I••• to L•• F•••••••• L••left Mar 3, 2010, registered Apr 8, 2010 (36 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