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.
M•••••• C••••• P••••••
- C••• S••••• P••••••• BD affiliated currentsince Jul 9, 2020 · Morristown, Nj
- T•••••••• A•••• M••••••••• L•• formerMay 8, 2019 to Nov 13, 2020 · Summit, Nj
- C••••• W••••• A••••••• L•• formerNov 14, 2012 to Jan 5, 2016 · Summit, Nj
- T•••••••• C•••••• M••••••••• L•• formerFeb 15, 2002 to Dec 10, 2019 · Summit, Nj
- T•••••••• A•••• M••••••••• L•• to C••• S••••• P•••••••left Nov 13, 2020, registered Jul 9, 2020 (-127 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T•••••••• C•••••• M••••••••• L•• to C••••• W••••• A••••••• L••left Dec 10, 2019, registered Nov 14, 2012 (-2582 days) · Other
- C••••• W••••• A••••••• L•• to T•••••••• A•••• M••••••••• L••left Jan 5, 2016, registered May 8, 2019 (1219 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