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.
S•••• V• W•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 23, 2019 · Morristown, Nj
- P•••••••• F•••••••• S••••••• independent RIAApr 5, 2018 to Apr 18, 2019 · Mine Hill, Nj
- P•• W••••• M••••••••• BD affiliatedSep 11, 2012 to May 8, 2017 · Tenafly, Nj
- U•• F•••••••• S••••••• I••• wirehouseJun 23, 2010 to Jul 16, 2012 · Paramus, Nj
- P•••••••• F•••••••• S••••••• to J••• M••••• S••••••••• L••left Apr 18, 2019, registered May 23, 2019 (35 days) · RIA to wirehouse
- P•• W••••• M••••••••• to P•••••••• F•••••••• S•••••••left May 8, 2017, registered Apr 5, 2018 (332 days) · Other
- U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••left Jul 16, 2012, registered Sep 11, 2012 (57 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address