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.
M•••••• W•••••• R••••
- E•••••••• A•••••••• L•• national BD currentsince Dec 15, 2016 · Morristown, Nj
- M•• F•••••••• S•••••••• I••• formerFeb 13, 2009 to Dec 22, 2016 · Paramus, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 13, 2007 to Dec 22, 2008 · Florham Park, Nj
- A• G• E•••••• • S•••• I••• unclassifiedApr 27, 2006 to Aug 15, 2007 · Moristown, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDJan 5, 2006 to Mar 29, 2006 · Parsippany, Nj
- M•• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Dec 22, 2016, registered Dec 15, 2016 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Dec 22, 2008, registered Feb 13, 2009 (53 days) · Other
- A• G• E•••••• • S•••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 15, 2007, registered Aug 13, 2007 (-2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to A• G• E•••••• • S•••• I•••left Mar 29, 2006, registered Apr 27, 2006 (29 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address