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.
- R•••• C•••••• L•• independent RIA currentsince Sep 9, 2020 · Manasquan, Nj
- B• R•••• W••••• A•••••••• I••• BD affiliatedDec 17, 2008 to Sep 15, 2020 · Manasquan, Nj
- F•••• M•••••• S••••••••• C•••• unclassifiedJun 30, 2004 to Nov 18, 2008 · Manasquan, Nj
- E•••••••• A•••••••• L•• national BDMay 14, 2002 to Apr 29, 2004 · Manasquan, Nj
- B• R•••• W••••• A•••••••• I••• to R•••• C•••••• L••left Sep 15, 2020, registered Sep 9, 2020 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• M•••••• S••••••••• C•••• to B• R•••• W••••• A•••••••• I•••left Nov 18, 2008, registered Dec 17, 2008 (29 days) · Other
- E•••••••• A•••••••• L•• to F•••• M•••••• S••••••••• C••••left Apr 29, 2004, registered Jun 30, 2004 (62 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address