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••••• S•••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 9, 2020 · Red Bank, Nj
- T••••• F•••••••• P••••••• G•••• I••• unclassifiedDec 14, 2015 to Feb 29, 2020 · Red Bank, Nj
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Dec 31, 2013 · Phoenix, Az
- R••••• J• O•••••••• • A••••••••• formerApr 11, 2005 to Dec 18, 2015 · Red Bank, Nj
- S••••••••• S••••••••• I••• unclassifiedApr 11, 2005 to Oct 31, 2005 · Red Bank, Nj
- T••••• F•••••••• P••••••• G•••• I••• to L•• F•••••••• L••left Feb 29, 2020, registered Jan 9, 2020 (-51 days) · Other · moved with a team
- R••••• J• O•••••••• • A••••••••• to S•••••••• F••••••••• I•••left Dec 18, 2015, registered Oct 31, 2005 (-3700 days) · Other
- S•••••••• F••••••••• I••• to T••••• F•••••••• P••••••• G•••• I•••left Dec 31, 2013, registered Dec 14, 2015 (713 days) · Other
- S••••••••• S••••••••• I••• to R••••• J• O•••••••• • A•••••••••left Oct 31, 2005, registered Apr 11, 2005 (-203 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
- 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