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.
N•••••• V• B•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 12, 2010 · Fairfield, Nj
- R• S•••••• • C••• I••• formerSep 15, 2009 to Oct 1, 2010 · Chatham, Nj
- C••••• I••••••••• S••••••• L•• formerNov 16, 2006 to Jun 26, 2009 · Totowa, Nj
- A••••••••• A•••••• S•••••••• I••• unclassifiedNov 28, 2005 to Nov 15, 2006 · Saddlebrook, Nj
- U•• F•••••••• S••••••• I••• wirehouseApr 5, 2002 to May 14, 2003 · Florham Park, Nj
- R• S•••••• • C••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 1, 2010, registered Oct 12, 2010 (11 days) · Other
- C••••• I••••••••• S••••••• L•• to R• S•••••• • C••• I•••left Jun 26, 2009, registered Sep 15, 2009 (81 days) · Other
- A••••••••• A•••••• S•••••••• I••• to C••••• I••••••••• S••••••• L••left Nov 15, 2006, registered Nov 16, 2006 (1 days) · Other
- U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••left May 14, 2003, registered Nov 28, 2005 (929 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address