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•••••• J••• O•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 16, 2017 · Summit, Nj
- I••••• F•••••••• C••••••••• formerAug 23, 2016 to Nov 13, 2017 · Lyndhurst, Nj
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 25, 2016 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerDec 16, 2009 to Oct 1, 2012 · New York, Ny
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 3, 2008 to Nov 17, 2009 · Bridgewater, Nj
- W•••• F•••• A••••••• wirehouseMay 8, 2007 to Feb 12, 2008 · Pompano Beach, Fl
- C•••• I••••••••• S••••••• C•••• formerMay 27, 2005 to Aug 21, 2006 · New York, Ny
- P•••• S••••••••• L•• no RAUMNov 12, 2004 to May 16, 2005 · Lebanon, Nj
- E•••••••• A•••••••• L•• national BDSep 9, 2004 to Oct 21, 2004 · New York, Ny
- P•••• S••••••••• L•• no RAUMJan 28, 2004 to Aug 30, 2004 · Warren, Nj
- I••••• F•••••••• C••••••••• to J••• M••••• S••••••••• L••left Nov 13, 2017, registered Nov 16, 2017 (3 days) · Other
- J••• M••••• S••••••••• L•• to I••••• F•••••••• C•••••••••left Aug 25, 2016, registered Aug 23, 2016 (-2 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••left Nov 17, 2009, registered Dec 16, 2009 (29 days) · Other
- W•••• F•••• A••••••• to V••• F•••••••• A•••••••• I•••left Feb 12, 2008, registered Mar 3, 2008 (20 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Aug 21, 2006, registered May 8, 2007 (260 days) · Other
- P•••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left May 16, 2005, registered May 27, 2005 (11 days) · Other
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Oct 21, 2004, registered Nov 12, 2004 (22 days) · Other
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Aug 30, 2004, registered Sep 9, 2004 (10 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address