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.
S•••• R••••• B••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 15, 2024 · Far Hills, Nj
- I• A••••••• S•••••••• I••• formerMay 2, 2018 to Nov 19, 2024 · Spring Lake Heights, Nj
- W•••• A••••••• S••••••• formerMay 22, 2007 to May 16, 2018 · Spring Lake Heights, Nj
- I• A••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 19, 2024, registered Nov 15, 2024 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• A••••••• S••••••• to I• A••••••• S•••••••• I•••left May 16, 2018, registered May 2, 2018 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••• R••••• B•••• left I• A••••••• S•••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-11-15)Nov 19, 2024 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address