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••• A••••••• B••••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Apr 22, 2024 · Shrewsbury, Nj
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Feb 1, 2021 · Shrewsbury, Nj
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 4, 2015 to May 26, 2020 · New York, Ny
- B••••••• C•••••• I••• formerAug 22, 2012 to Dec 4, 2015 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 5, 2012 · Red Bank, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Red Bank, Nj
- M••••• S•••••• D• I••• unclassifiedAug 17, 2006 to Apr 2, 2007 · Red Bank, Nj
- S•••••• N••••••• • C••••••• I••••••••• to R••••••••• C•••••• M•••••••••left May 26, 2020, registered Feb 1, 2021 (251 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to B••••••• C•••••• I•••left Sep 5, 2012, registered Aug 22, 2012 (-14 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address