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•••• D•••• F••••
- D••••• C•••••• M••••••••• independent RIA currentsince May 3, 2018 · Collegeville, Pa
- E•• M•••• S••••••••• L•• independent RIAFeb 5, 2018 to Apr 18, 2018 · Ramsey, Nj
- D••••• C•••••• M••••••••• independent RIADec 4, 2015 to Feb 2, 2016 · Franklin Lakes, Nj
- B••• S••••• G••••• A•••••••• L•• formerJun 23, 2009 to Sep 30, 2015 · F••••Lin Lakes, Nj
- B••• S••••• G••••• A•••••••• L•• formerMar 9, 2007 to Dec 31, 2007 · F••••Lin Lakes, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 8, 2005 to Apr 25, 2006 · Auburn Hills, Mi
- E•• M•••• S••••••••• L•• to D••••• C•••••• M•••••••••left Apr 18, 2018, registered May 3, 2018 (15 days) · RIA to RIA
- D••••• C•••••• M••••••••• to E•• M•••• S••••••••• L••left Feb 2, 2016, registered Feb 5, 2018 (734 days) · Other
- B••• S••••• G••••• A•••••••• L•• to D••••• C•••••• M•••••••••left Sep 30, 2015, registered Dec 4, 2015 (65 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••• G••••• A•••••••• L••left Apr 25, 2006, registered Mar 9, 2007 (318 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