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.
M••• R••••
- F••••••• W••••• A•••••••• L•• independent RIA currentsince Jul 19, 2024 · Chicago, Il
- L•• F•••••••• L•• BD affiliatedSep 14, 2021 to Aug 5, 2024 · East Brunswick, Nj
- P•••••••• S••••••••• I••• BD affiliatedJul 12, 2019 to Sep 21, 2021 · Parsippany, Nj
- R••••• G•••• • A••••••••• L•• state registeredMar 20, 2018 to Jun 12, 2019 · Naples, Fl
- G••••• F•••••••• P•••••• C••••••• I••• formerOct 5, 2016 to Jan 4, 2018 · Parsippany, Nj
- J••• M••••• S••••••••• L•• wirehouseNov 21, 2014 to Aug 25, 2016 · Bedminster, Nj
- E••••• J•••• national BDOct 2, 2012 to Jul 29, 2014 · St Louis, Mo
- L•• F•••••••• L•• to F••••••• W••••• A•••••••• L••left Aug 5, 2024, registered Jul 19, 2024 (-17 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Sep 21, 2021, registered Sep 14, 2021 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- R••••• G•••• • A••••••••• L•• to P•••••••• S••••••••• I•••left Jun 12, 2019, registered Jul 12, 2019 (30 days) · Other
- G••••• F•••••••• P•••••• C••••••• I••• to R••••• G•••• • A••••••••• L••left Jan 4, 2018, registered Mar 20, 2018 (75 days) · Other · moved with a team
- J••• M••••• S••••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Aug 25, 2016, registered Oct 5, 2016 (41 days) · Other
- E••••• J•••• to J••• M••••• S••••••••• L••left Jul 29, 2014, registered Nov 21, 2014 (115 days) · Affiliated broker-dealer or bank to wirehouse
- M••• R•••• left L•• F•••••••• L•• for F••••••• W••••• A•••••••• L•• (registered 2024-07-19)Aug 5, 2024 · 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