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••••• P••••• L•••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 15, 2024 · Fairfield, Nj
- P•••• S••••••••• L•• no RAUMOct 31, 2016 to Feb 1, 2024 · Basking Ridge, Nj
- Q•••••• A•••• M••••••••• I••• formerMar 7, 2016 to Jul 1, 2016 · Bridgewater, Nj
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 1, 2024, registered Mar 15, 2024 (43 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to P•••• S••••••••• L••left Jul 1, 2016, registered Oct 31, 2016 (122 days) · Other
- J••••• P••••• L••••••••• left P•••• S••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2024-03-15)Feb 1, 2024 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address