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••••• A• M•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 16, 2012 · Morristown, Nj
- R• S•••••• • C••• I••• formerJun 23, 2009 to Nov 22, 2011 · Chatham, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2007 to Feb 11, 2009 · Short Hills, Nj
- R• S•••••• • C••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 22, 2011, registered Mar 16, 2012 (115 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R• S•••••• • C••• I•••left Feb 11, 2009, registered Jun 23, 2009 (132 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address