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•••••• A••••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Paramus, Nj
- T• A••••••••• I••• formerApr 18, 2021 to Mar 7, 2022 · Paramus, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 16, 2021 to Mar 7, 2022 · Paramus, Nj
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUMMay 1, 2020 to Apr 21, 2021 · Secaucus, Nj
- H•••••••• A•••••••• L•• BD affiliatedJul 16, 2019 to Apr 24, 2020 · Fairfield, Nj
- S•• W••••• A•••••••• L•• independent RIAFeb 14, 2018 to Feb 4, 2019 · Parsippany, Nj
- T• A••••••••• I••• formerApr 13, 2015 to Aug 2, 2017 · Short Hills, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 13, 2015 to Aug 2, 2017 · Short Hills, Nj
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 7, 2022, registered Apr 18, 2021 (-323 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Mar 7, 2022, registered Jan 26, 2022 (-40 days) · channel change inside one enterprise, not a move · moved with a team
- E•••• • Y•••• I••••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Apr 21, 2021, registered Apr 16, 2021 (-5 days) · Other
- H•••••••• A•••••••• L•• to E•••• • Y•••• I••••••••• A••••••• L••left Apr 24, 2020, registered May 1, 2020 (7 days) · Other
- S•• W••••• A•••••••• L•• to H•••••••• A•••••••• L••left Feb 4, 2019, registered Jul 16, 2019 (162 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 2, 2017, registered Apr 13, 2015 (-842 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 2, 2017, registered Apr 13, 2015 (-842 days) · channel change inside one enterprise, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address