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•••••• C••••••••• L•••••••
- S••••••••• W••••• P•••••••• L•• independent RIA currentsince Jul 23, 2020 · Red Bank, Nj
- M••••• S•••••• wirehouseApr 19, 2012 to Jul 23, 2020 · Red Bank, Nj
- U•• F•••••••• S••••••• I••• wirehouseDec 1, 2011 to Apr 11, 2012 · Westfield, Nj
- W•••• F•••• A••••••• wirehouseJan 29, 2008 to Dec 2, 2011 · Short Hills, Nj
- M••••• S•••••• to S••••••••• W••••• P•••••••• L••left Jul 23, 2020, registered Jul 23, 2020 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 11, 2012, registered Apr 19, 2012 (8 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Dec 2, 2011, registered Dec 1, 2011 (-1 days) · Wirehouse to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address