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.
L•••• M••
- O•••• I••••••••• I••• BD affiliated currentsince Apr 16, 2021 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 1, 2009 to Apr 19, 2021 · Jersey City, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 9, 2005 to May 19, 2009 · Florham Park, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDJan 12, 2005 to Apr 6, 2005 · Edison, Nj
- H••• S••••••••• •••• I••• to O•••• I••••••••• I•••left Apr 19, 2021, registered Apr 16, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left May 19, 2009, registered Jun 1, 2009 (13 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 6, 2005, registered Nov 9, 2005 (217 days) · Affiliated broker-dealer or bank 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address