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••••••• R••••• M•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 22, 2017 · Morristown, Nj
- M••••• S•••••• wirehouseJun 13, 2013 to Aug 21, 2017 · Purchase, Ny
- U•• F•••••••• S••••••• I••• wirehouseJun 23, 2006 to Jun 18, 2009 · New York, Ny
- B•• M••••• S••••••••• C••••••••• otherMar 1, 2004 to Oct 4, 2005 · New York, Ny
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedJul 22, 2002 to Feb 4, 2004 · Woodbridge, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 3, 2002 to Jul 11, 2002 · Short Hills, Nj
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 21, 2017, registered Aug 22, 2017 (1 days) · Other · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 18, 2009, registered Jun 13, 2013 (1456 days) · Wirehouse to wirehouse
- B•• M••••• S••••••••• C••••••••• to U•• F•••••••• S••••••• I•••left Oct 4, 2005, registered Jun 23, 2006 (262 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to B•• M••••• S••••••••• C•••••••••left Feb 4, 2004, registered Mar 1, 2004 (26 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• I••••••••• F••• S••••••• L••left Jul 11, 2002, registered Jul 22, 2002 (11 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address