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.
L••• C••••• R••• S•••••••
- P•••••••• A••••••• national BD currentsince Apr 4, 2023 · Jacksonville, Fl
- L•• F•••••••• L•• BD affiliatedMay 14, 2019 to Feb 25, 2021 · Perth Amboy, Nj
- M•• S••••••••• I••• unclassifiedFeb 12, 2016 to Feb 27, 2019 · Jersey City, Nj
- I••••• F•••••••• C••••••••• formerOct 13, 2015 to Feb 11, 2016 · Perth Amboy, Nj
- E•••• N••••••• S••••••••• I••• formerJun 25, 2014 to Oct 15, 2015 · Perth Amboy, Nj
- L•• F•••••••• L•• to P•••••••• A•••••••left Feb 25, 2021, registered Apr 4, 2023 (768 days) · Affiliated broker-dealer or bank to another
- M•• S••••••••• I••• to L•• F•••••••• L••left Feb 27, 2019, registered May 14, 2019 (76 days) · Other
- I••••• F•••••••• C••••••••• to M•• S••••••••• I•••left Feb 11, 2016, registered Feb 12, 2016 (1 days) · Other
- E•••• N••••••• S••••••••• I••• to I••••• F•••••••• C•••••••••left Oct 15, 2015, registered Oct 13, 2015 (-2 days) · Other · moved with a team
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address