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.
F••• K••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 1, 2018 · Franklin Lakes, Nj
- P•• W••••• M••••••••• BD affiliatedJan 22, 2018 to Nov 1, 2018 · Fairfield, Nj
- P•••• S••••••••• L•• no RAUMApr 3, 2017 to Dec 5, 2017 · Paramus, Nj
- M•• F•••••••• S•••••••• I••• formerMar 17, 2015 to Mar 8, 2017 · Paramus, Nj
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · Affiliated broker-dealer or bank to wirehouse
- P•••• S••••••••• L•• to P•• W••••• M•••••••••left Dec 5, 2017, registered Jan 22, 2018 (48 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Mar 8, 2017, registered Apr 3, 2017 (26 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address