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.
A••••• F•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Manalapan, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 19, 2022 to Mar 31, 2025 · Wayne, Nj
- J••• M••••• S••••••••• L•• wirehouseApr 17, 2021 to May 25, 2022 · Marlboro, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 26, 2009 to Jan 11, 2021 · Shrewsbury, Nj
- T• A••••••••• I••• formerMar 26, 2009 to Dec 31, 2020 · Red Bank, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 15, 2005 to Apr 2, 2009 · Paramus, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 25, 2022, registered Aug 19, 2022 (86 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Jan 11, 2021, registered Apr 17, 2021 (96 days) · RIA to wirehouse · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 31, 2020, registered Mar 26, 2009 (-4298 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to T• A••••••••• I•••left Apr 2, 2009, registered Mar 26, 2009 (-7 days) · Other
- A••••• F••••••• left J••• M••••• S••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-08-19)May 25, 2022 · Advisor changed firm · fact
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address