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.
C•••• J••• E•••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Wall, Nj
- M•• F•••••••• S•••••••• I••• formerAug 30, 2012 to Mar 25, 2017 · Iselin, Nj
- C••• R••••••••• P••• A••••••• S••••••• institutionalNov 1, 2010 to Aug 20, 2012 · New York, Ny
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- C••• R••••••••• P••• A••••••• S••••••• to M•• F•••••••• S•••••••• I•••left Aug 20, 2012, registered Aug 30, 2012 (10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address