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.
S•••• I••••••
- P••• I••••••••• L•• asset manager currentsince Oct 5, 2022 · Newark, Nj
- J••• M••••• S••••••••• L•• wirehouseMay 4, 2021 to Mar 12, 2022 · Jersey City, Nj
- P•••• S••••••••• L•• no RAUMSep 25, 2017 to Apr 12, 2021 · Newark, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 18, 2016 to Jul 12, 2017 · Shrewsbury, Nj
- T• A••••••••• I••• formerOct 17, 2016 to Jul 12, 2017 · Red Bank, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 22, 2016 to Sep 30, 2016 · Pennington, Nj
- J••• M••••• S••••••••• L•• to P••• I••••••••• L••left Mar 12, 2022, registered Oct 5, 2022 (207 days) · Other
- P•••• S••••••••• L•• to J••• M••••• S••••••••• L••left Apr 12, 2021, registered May 4, 2021 (22 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to P•••• S••••••••• L••left Jul 12, 2017, registered Sep 25, 2017 (75 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 12, 2017, registered Oct 18, 2016 (-267 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Sep 30, 2016, registered Oct 17, 2016 (17 days) · Other · moved with a team
- S•••• I•••••• left J••• M••••• S••••••••• L•• for P••• I••••••••• L•• (registered 2022-10-05)Mar 12, 2022 · 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address