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.
D•••• M•••• S•••••••
- M•••••• BD affiliated currentsince Apr 1, 2020 · Madison, Nj
- W••••• H•••••• L•• formerMar 4, 2016 to Apr 14, 2020 · Roseland, Nj
- T•• M•• G••••• I••• formerDec 19, 2003 to Dec 31, 2015 · Parsippany, Nj
- T•• M•• G••••• I••• formerJun 19, 2002 to Dec 31, 2002 · Parsippany, Nj
- W••••• H•••••• L•• to M••••••left Apr 14, 2020, registered Apr 1, 2020 (-13 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T•• M•• G••••• I••• to W••••• H•••••• L••left Dec 31, 2015, registered Mar 4, 2016 (64 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address