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.
B•••• J••••• V•••••••
- J•••••• M••••••• W••••• M••••••••• L•• independent RIA currentsince Mar 8, 2022 · Florham Park, Nj
- R•••••• J•••• • A••••••••• I••• national BDMay 29, 2020 to Mar 25, 2022 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseOct 5, 2017 to May 27, 2020 · Wilton, Ct
- J••• M••••• S••••••••• L•• wirehouseSep 26, 2013 to Oct 11, 2017 · Nanuet, Ny
- W•••• F•••• A••••••• wirehouseApr 3, 2013 to Sep 26, 2013 · New City, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 8, 2013 · Katonah, Ny
- C•••• I••••••••• S••••••• C•••• formerApr 30, 2012 to Oct 1, 2012 · Somers, Ny
- R•••••• J•••• • A••••••••• I••• to J•••••• M••••••• W••••• M••••••••• L••left Mar 25, 2022, registered Mar 8, 2022 (-17 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left May 27, 2020, registered May 29, 2020 (2 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Oct 11, 2017, registered Oct 5, 2017 (-6 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Sep 26, 2013, registered Sep 26, 2013 (0 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Apr 8, 2013, registered Apr 3, 2013 (-5 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B•••• J••••• V••••••• left R•••••• J•••• • A••••••••• I••• for J•••••• M••••••• W••••• M••••••••• L•• (registered 2022-03-08)Mar 25, 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address