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.
S•••• A•••• C••••
- E•••••••• A•••••••• L•• national BD currentsince Apr 22, 2019 · Woodbridge, Nj
- J••• M••••• S••••••••• L•• wirehouseOct 13, 2015 to Aug 8, 2018 · Berkeley Heights, Nj
- E•••••••• A•••••••• L•• national BDJul 2, 2013 to Aug 26, 2014 · Woodbridge, Nj
- A•••• G•••• C•••••• state registeredApr 26, 2011 to Sep 25, 2012 · Atlanta, Ga
- J••• M••••• S••••••••• L•• to E•••••••• A•••••••• L••left Aug 8, 2018, registered Apr 22, 2019 (257 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Aug 26, 2014, registered Oct 13, 2015 (413 days) · Affiliated broker-dealer or bank to wirehouse
- A•••• G•••• C•••••• to E•••••••• A•••••••• L••left Sep 25, 2012, registered Jul 2, 2013 (280 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address