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.
E•••••••• E••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Feb 1, 2024 · Red Bank, Nj
- L•• F•••••••• L•• BD affiliatedOct 2, 2020 to Jan 30, 2024 · Woodbridge, Nj
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Oct 2, 2020 · Manalapan, Nj
- L•• F•••••••• L•• BD affiliatedFeb 13, 2012 to Sep 19, 2012 · Manalapan, Nj
- W•••• F•••• A••••••• wirehouseDec 3, 2010 to Feb 7, 2012 · Metuchen, Nj
- P•• W••••• M••••••••• BD affiliatedMar 22, 2006 to Dec 13, 2010 · Monroe Township, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Mar 21, 2006 · Somerset, Nj
- Q•••• • R•••••• I••• unclassifiedJul 2, 2004 to Oct 20, 2004 · Somerset, Nj
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Jan 30, 2024, registered Feb 1, 2024 (2 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to L•• F•••••••• L••left Oct 2, 2020, registered Oct 2, 2020 (0 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to L•• F•••••••• L••left Feb 7, 2012, registered Feb 13, 2012 (6 days) · Other
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Dec 13, 2010, registered Dec 3, 2010 (-10 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Mar 21, 2006, registered Mar 22, 2006 (1 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- E•••••••• E•••••• left L•• F•••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2024-02-01)Jan 30, 2024 · Advisor changed firm · fact
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