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••• Y• U••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Ramsey, Nj
- S••••••••• A•••••• A•••••••• I••• formerSep 17, 2018 to Jun 14, 2024 · Ramsey, Nj
- E•• F•••••••• A••••••• independent RIAMar 10, 2014 to Sep 18, 2018 · White Plains, Ny
- W•••• F•••• A••••••• wirehouseJul 16, 2009 to Aug 8, 2012 · Paramus, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 5, 2009 · Little Falls, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 2, 2005 to Jun 1, 2009 · Little Falls, Nj
- P•• W••••• M••••••••• BD affiliatedSep 8, 2004 to Aug 4, 2005 · Little Falls, Nj
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- E•• F•••••••• A••••••• to S••••••••• A•••••• A•••••••• I•••left Sep 18, 2018, registered Sep 17, 2018 (-1 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to E•• F•••••••• A•••••••left Aug 8, 2012, registered Mar 10, 2014 (579 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Aug 5, 2009, registered Jul 16, 2009 (-20 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to C•••••••• G••••• M•••••• I•••left Aug 4, 2005, registered Aug 2, 2005 (-2 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address