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.
K•••• R•••••• M••••
- N•• A•••• M••••••••• L•• BD affiliated currentsince Jan 9, 2018 · Fair Lawn, Nj
- N•• A•••• M••••••••• L•• BD affiliatedApr 7, 2016 to Dec 31, 2017 · Fair Lawn, Nj
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 17, 2012 to Dec 16, 2015 · West Palm Beach, Fl
- M••••• S•••••• wirehouseJan 18, 2012 to Mar 5, 2012 · Morristown, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 22, 2008 to Jan 20, 2012 · Short Hills, Nj
- T••••••••• F•••••••• A•••••••• L•• to N•• A•••• M••••••••• L••left Dec 16, 2015, registered Apr 7, 2016 (113 days) · Other
- M••••• S•••••• to T••••••••• F•••••••• A•••••••• L••left Mar 5, 2012, registered Aug 17, 2012 (165 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 20, 2012, registered Jan 18, 2012 (-2 days) · Wirehouse to wirehouse
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address