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••• A•••••••• G••••
- R•• W••••• B•••••••• I••• independent RIA currentsince Feb 15, 2019 · Montclair, Nj
- C••••• • A••••••••• I••• independent RIAFeb 15, 2019 to Jan 2, 2023 · Montclair, Nj
- H•••••• • W•••• A•••• M••••••••• I••• BD affiliatedJan 23, 2018 to May 31, 2018 · Parsippany, Nj
- S••••• F•••••••• R•••••••• I•• formerOct 11, 2017 to Nov 3, 2017 · Parsippany, Nj
- S••••• E••••••• I•• formerOct 10, 2017 to Nov 3, 2017 · Parsippany, Nj
- C••••••••• F•••••••• N•••••• national BDMar 8, 2016 to Jan 10, 2017 · Rockaway, Nj
- W•••• F•••• A••••••• wirehouseOct 1, 2012 to Dec 1, 2014 · New York, Ny
- C••••• • A••••••••• I••• to R•• W••••• B•••••••• I•••left Jan 2, 2023, registered Feb 15, 2019 (-1417 days) · Other · moved with a team
- H•••••• • W•••• A•••• M••••••••• I••• to C••••• • A••••••••• I•••left May 31, 2018, registered Feb 15, 2019 (260 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• F•••••••• R•••••••• I•• to H•••••• • W•••• A•••• M••••••••• I•••left Nov 3, 2017, registered Jan 23, 2018 (81 days) · Other
- S••••• E••••••• I•• to S••••• F•••••••• R•••••••• I••left Nov 3, 2017, registered Oct 11, 2017 (-23 days) · Other
- C••••••••• F•••••••• N•••••• to S••••• E••••••• I••left Jan 10, 2017, registered Oct 10, 2017 (273 days) · Other
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Dec 1, 2014, registered Mar 8, 2016 (463 days) · Wirehouse to affiliated broker-dealer or bank
- M••• A•••••••• G•••• left C••••• • A••••••••• I••• for R•• W••••• B•••••••• I••• (registered 2019-02-15)Jan 2, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address