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.
D••••• J••• F••••
- S••••• F••••••••• L•• BD affiliated currentsince Jun 9, 2022 · Parsippany, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to May 5, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDDec 7, 2017 to Jul 13, 2018 · Bridgewater, Nj
- P••••••• C•• S•••••••• L•• independent RIAJul 29, 2016 to Nov 10, 2017 · Chester, Nj
- J• E••• W••••• A•••••••• L•• formerJun 18, 2015 to May 4, 2016 · Madison, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• to S••••• F••••••••• L••left May 5, 2022, registered Jun 9, 2022 (35 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- P••••••• C•• S•••••••• L•• to S•••••••• A••••••• L••left Nov 10, 2017, registered Dec 7, 2017 (27 days) · Other
- J• E••• W••••• A•••••••• L•• to P••••••• C•• S•••••••• L••left May 4, 2016, registered Jul 29, 2016 (86 days) · Other
- D••••• J••• F•••• left F••••••• P••••••• A•• W•••••••• A••••••• for S••••• F••••••••• L•• (registered 2022-06-09)May 5, 2022 · Advisor changed firm · fact
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address