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•••••• M••••••• K•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jun 14, 2021 · Bridgewater, Nj
- P••• I••••••••• L•• asset managerOct 18, 2016 to May 24, 2021 · Newark, Nj
- W•• I••••••••• L•• independent RIAJul 29, 2015 to Aug 15, 2016 · Red Bank, Nj
- B•••••••• I••••••••• M••••••••• L•• asset managerJan 1, 2010 to Jun 25, 2015 · Princeton, Nj
- P••• I••••••••• L•• to C•••••• S••••• • C••• I•••left May 24, 2021, registered Jun 14, 2021 (21 days) · Other
- W•• I••••••••• L•• to P••• I••••••••• L••left Aug 15, 2016, registered Oct 18, 2016 (64 days) · Other
- B•••••••• I••••••••• M••••••••• L•• to W•• I••••••••• L••left Jun 25, 2015, registered Jul 29, 2015 (34 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address