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.
J•••• P•••• Y•••
- L•• F•••••••• L•• BD affiliated currentsince Jul 7, 2022 · Point Pleasant, Nj
- A•••• P•••••• W••••• A••••••• independent RIASep 23, 2020 to Jul 12, 2022 · Red Bank, Nj
- C•••••• S••••• • C••• I••• national BDMay 23, 2011 to Oct 19, 2020 · Red Bank, Nj
- T• A••••••••• I••• formerMay 13, 2008 to Apr 28, 2011 · Red Bank, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 9, 2008 to Apr 28, 2011 · Shrewsbury, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 22, 2007 to Apr 3, 2008 · Eatontown, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDOct 11, 2004 to Feb 14, 2007 · Red Bank, Nj
- A•••• P•••••• W••••• A••••••• to L•• F•••••••• L••left Jul 12, 2022, registered Jul 7, 2022 (-5 days) · RIA to RIA
- C•••••• S••••• • C••• I••• to A•••• P•••••• W••••• A•••••••left Oct 19, 2020, registered Sep 23, 2020 (-26 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 28, 2011, registered May 13, 2008 (-1080 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 28, 2011, registered May 23, 2011 (25 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 3, 2008, registered May 9, 2008 (36 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 14, 2007, registered Feb 22, 2007 (8 days) · Affiliated broker-dealer or bank to wirehouse
- J•••• P•••• Y••• left A•••• P•••••• W••••• A••••••• for L•• F•••••••• L•• (registered 2022-07-07)Jul 12, 2022 · Advisor changed firm · fact
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