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•••••• J••• R••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Nov 7, 2022 · Roseland, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 9, 2020 to Oct 21, 2022 · Wayne, Nj
- E•••••• C•••••• M••••••••• L•• formerJul 7, 2014 to Aug 15, 2019 · Arlington, Va
- U•• F•••••••• S••••••• I••• wirehouseJul 25, 2013 to Feb 28, 2014 · Red Bank, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 18, 2011 to Jun 6, 2012 · Chandler, Az
- F••••••• P••••••• A•• W•••••••• A••••••• to A••••• A•• P••••••• S•••••••left Oct 21, 2022, registered Nov 7, 2022 (17 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 15, 2019, registered Jul 9, 2020 (329 days) · RIA to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to E•••••• C•••••• M••••••••• L••left Feb 28, 2014, registered Jul 7, 2014 (129 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jun 6, 2012, registered Jul 25, 2013 (414 days) · Wirehouse to wirehouse
- A•••••• J••• R•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2022-11-07)Oct 21, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address