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••• A••••••• state registered currentsince Jul 6, 2021 · New York, Ny
- W••••••• F•••••••• S•••••••• I••• formerFeb 20, 2020 to Jul 20, 2021 · Cresskill, Nj
- M••••• S•••••• wirehouseApr 12, 2012 to Mar 4, 2019 · Paramus, Nj
- S••••••• F•••••••• S•••••••• I••• formerApr 8, 2011 to Sep 12, 2011 · Parsippany, Nj
- W••••••• F•••••••• S•••••••• I••• to A••• A•••••••left Jul 20, 2021, registered Jul 6, 2021 (-14 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M••••• S•••••• to W••••••• F•••••••• S•••••••• I•••left Mar 4, 2019, registered Feb 20, 2020 (353 days) · Wirehouse to affiliated broker-dealer or bank
- S••••••• F•••••••• S•••••••• I••• to M••••• S••••••left Sep 12, 2011, registered Apr 12, 2012 (213 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address