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.
F•••••• M••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 23, 2020 · Pennington, Nj
- S•••••••• S••••••••• BD affiliatedOct 22, 2019 to May 11, 2020 · Staten Island, Ny
- E•••••• I••••••••• A•••• M••••••••• L• formerSep 21, 2016 to Dec 31, 2018 · Princeton, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 25, 2010 to Oct 23, 2014 · Pennington, Nj
- S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 11, 2020, registered Nov 23, 2020 (196 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••• I••••••••• A•••• M••••••••• L• to S•••••••• S•••••••••left Dec 31, 2018, registered Oct 22, 2019 (295 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• I••••••••• A•••• M••••••••• L•left Oct 23, 2014, registered Sep 21, 2016 (699 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address