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•••••• L••• T•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 29, 2015 · Nazareth, Pa
- M••••• W••••• M••••••••• L•• independent RIAMar 4, 2015 to Sep 24, 2015 · Westwood, Nj
- M•• F•••••••• S•••••••• I••• formerSep 11, 2014 to Feb 5, 2015 · Wall Township, Nj
- M••••• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2015, registered Oct 29, 2015 (35 days) · Other
- M•• F•••••••• S•••••••• I••• to M••••• W••••• M••••••••• L••left Feb 5, 2015, registered Mar 4, 2015 (27 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address