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.
T••••• V••••• C••••••
- R•• C•••••• M••••••• L•• national BD currentsince Oct 5, 2012 · Florham Park, Nj
- S••• W••••• M••••••••• L•• formerMay 28, 2010 to Oct 8, 2012 · Morristown, Nj
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jun 1, 2010 · Morristown, Nj
- A• G• E•••••• • S•••• I••• unclassifiedJul 24, 2006 to Jan 1, 2008 · Moristown, Nj
- S••• W••••• M••••••••• L•• to R•• C•••••• M••••••• L••left Oct 8, 2012, registered Oct 5, 2012 (-3 days) · Other
- W•••• F•••• A••••••• to S••• W••••• M••••••••• L••left Jun 1, 2010, registered May 28, 2010 (-4 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (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
- 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