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.
J••• H• M•••••
- E••••• J•••• national BD currentsince Mar 29, 2017 · Scotch Plains, Nj
- C•••••• O•• A•••••••• L•• formerFeb 10, 2016 to Mar 28, 2017 · Westfield, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 19, 2012 to Feb 4, 2016 · Florham Park, Nj
- U•• F•••••••• S••••••• I••• wirehouseOct 22, 2009 to Apr 10, 2012 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 19, 2009 · Morristown, Nj
- M••••• S•••••• • C•• L•• unclassifiedOct 4, 2007 to Jun 1, 2009 · Morristown, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 8, 2006 to Sep 27, 2007 · Florham Park, Nj
- C•••••• O•• A•••••••• L•• to E••••• J••••left Mar 28, 2017, registered Mar 29, 2017 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• O•• A•••••••• L••left Feb 4, 2016, registered Feb 10, 2016 (6 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 10, 2012, registered Jun 19, 2012 (70 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Oct 19, 2009, registered Oct 22, 2009 (3 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Sep 27, 2007, registered Oct 4, 2007 (7 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address