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.
O•••• J•••• M•••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Bedminster, Nj
- P•••• S••••••••• L•• no RAUMDec 10, 2021 to Nov 14, 2024 · Basking Ridge, Nj
- J••• M••••• S••••••••• L•• wirehouseDec 21, 2018 to Aug 31, 2020 · Flushing, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2016 to Apr 25, 2018 · New York, Ny
- M••••• L•• independent RIAJan 23, 2015 to Aug 24, 2016 · Jersey City, Nj
- F•• S••••••••• C••••••••• formerSep 9, 2011 to Dec 14, 2012 · Atlanta, Ga
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Dec 31, 2009 · Alpharetta, Ga
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJun 6, 2008 to Oct 31, 2008 · Phoenix, Az
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to P•••• S••••••••• L••left Aug 31, 2020, registered Dec 10, 2021 (466 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Apr 25, 2018, registered Dec 21, 2018 (240 days) · Wirehouse to wirehouse · moved with a team
- M••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 24, 2016, registered Oct 3, 2016 (40 days) · Other
- F•• S••••••••• C••••••••• to M••••• L••left Dec 14, 2012, registered Jan 23, 2015 (770 days) · Other
- S•••••••• F••••••••• I••• to F•• S••••••••• C•••••••••left Dec 31, 2009, registered Sep 9, 2011 (617 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address