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.
T•••••• R•••
- A•••••••• A••••••• L•• state registered currentsince Jun 1, 2026 · Killington, Vt
- A•••••••• A••••••• L•• state registeredMay 1, 2020 to Dec 31, 2020 · Middletown, Nj
- P••••••• C•••••• A••••••• C••••••••• formerNov 14, 2018 to Sep 30, 2019 · Middletown, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 2017 to Nov 5, 2018 · Short Hills, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to May 25, 2017 · Red Bank, Nj
- M••••• S•••••• • C•• L•• unclassifiedMar 20, 2008 to Jun 1, 2009 · Red Bank, Nj
- J••• M••••• S••••••••• L•• wirehouseJan 16, 2008 to Apr 2, 2008 · New York, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 8, 2006 to Jan 8, 2008 · Parsippany, Nj
- C•••• I••••••••• S••••••• C•••• formerAug 11, 2005 to Jul 7, 2006 · New Vernon, Nj
- M••••• S•••••• D• I••• unclassifiedJan 3, 2005 to Jul 8, 2005 · Morristown, Nj
- P••••••• C•••••• A••••••• C••••••••• to A•••••••• A••••••• L••left Sep 30, 2019, registered May 1, 2020 (214 days) · RIA to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• C•••••• A••••••• C•••••••••left Nov 5, 2018, registered Nov 14, 2018 (9 days) · Wirehouse to independent RIA
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 25, 2017, registered May 24, 2017 (-1 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to M••••• S•••••• • C•• L••left Apr 2, 2008, registered Mar 20, 2008 (-13 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Jan 8, 2008, registered Jan 16, 2008 (8 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 7, 2006, registered Aug 8, 2006 (32 days) · Other
- M••••• S•••••• D• I••• to C•••• I••••••••• S••••••• C••••left Jul 8, 2005, registered Aug 11, 2005 (34 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address