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.
G••• Q••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 30, 2019 · Warren, Nj
- A••• W••••• S••••••••• formerFeb 7, 2017 to Oct 2, 2019 · Warren, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 13, 2016 to Dec 7, 2016 · New York, Ny
- M•••••• A•••••• A••••••• L•• independent RIAJan 31, 2013 to Jul 13, 2016 · Jersey City, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 22, 2005 to Feb 1, 2013 · Jersey City, Nj
- A••• W••••• S••••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 2, 2019, registered Oct 30, 2019 (28 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••• W••••• S•••••••••left Dec 7, 2016, registered Feb 7, 2017 (62 days) · Other
- M•••••• A•••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 13, 2016, registered Jul 13, 2016 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• A•••••• A••••••• L••left Feb 1, 2013, registered Jan 31, 2013 (-1 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address