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•••• B• G•••••
- H••• S••••••••• •••• I••• BD affiliated currentsince Oct 30, 2019 · Sparta, Nj
- O••••••••• • C•• I••• BD affiliatedApr 6, 2018 to Sep 27, 2019 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedApr 14, 2014 to Apr 13, 2018 · Fort Lee, Nj
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 12, 2013 · Florham Park, Nj
- C•••• I••••••••• S••••••• C•••• formerMay 22, 2012 to Oct 1, 2012 · Florham Park, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 6, 2011 to Sep 19, 2011 · Pennington, Nj
- O••••••••• • C•• I••• to H••• S••••••••• •••• I•••left Sep 27, 2019, registered Oct 30, 2019 (33 days) · Affiliated broker-dealer or bank to another
- H••• S••••••••• •••• I••• to O••••••••• • C•• I•••left Apr 13, 2018, registered Apr 6, 2018 (-7 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to H••• S••••••••• •••• I•••left Jun 12, 2013, registered Apr 14, 2014 (306 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Sep 19, 2011, registered May 22, 2012 (246 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address