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•••••• A•••••• S••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Apr 28, 2021 · Staten Island, Ny
- E•••••• F•••••••• S•••••••• L•• formerNov 3, 2016 to Nov 1, 2018 · Staten Island, Ny
- C•••••• S••••• • C••• I••• national BDApr 29, 2013 to Nov 2, 2016 · Princeton, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 21, 2008 to Apr 4, 2013 · Florham Park, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 24, 2008 · Morristown, Nj
- M••••• S•••••• D• I••• unclassifiedJun 21, 2006 to Apr 2, 2007 · Morristown, Nj
- U•• F•••••••• S••••••• I••• wirehouseJan 13, 2005 to Dec 20, 2005 · Edison, Nj
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Apr 28, 2021 (909 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to E•••••• F•••••••• S•••••••• L••left Nov 2, 2016, registered Nov 3, 2016 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Apr 4, 2013, registered Apr 29, 2013 (25 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 24, 2008, registered Nov 21, 2008 (-3 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Dec 20, 2005, registered Jun 21, 2006 (183 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address