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.
A•••• M• K•••••
- N•• Y••• L••• I••••••••• M••••••••• L•• asset manager currentsince Oct 21, 2022 · Somerset, Nj
- J••• M••••• S••••••••• L•• wirehouseFeb 23, 2021 to Jul 13, 2021 · East Brunswick, Nj
- W•••• F•••• A••••••• wirehouseFeb 12, 2013 to May 15, 2019 · Linden, Nj
- E•••••••• A•••••••• L•• national BDJul 19, 2010 to Dec 5, 2012 · Woodbridge, Nj
- J••• M••••• S••••••••• L•• to N•• Y••• L••• I••••••••• M••••••••• L••left Jul 13, 2021, registered Oct 21, 2022 (465 days) · Other
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left May 15, 2019, registered Feb 23, 2021 (650 days) · Wirehouse to wirehouse
- E•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Dec 5, 2012, registered Feb 12, 2013 (69 days) · Affiliated broker-dealer or bank to wirehouse
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