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••••• S•••••• wirehouse currentsince Feb 1, 2023 · Lawrenceville, Nj
- P•••• S••••••••• L•• no RAUMNov 26, 2018 to Jul 20, 2021 · Paramus, Nj
- E•••••••• A•••••••• L•• national BDMar 9, 2018 to Oct 8, 2018 · Wall, Nj
- E•••••• F•••••••• S•••••••• L•• formerDec 6, 2016 to Mar 13, 2017 · Red Bank, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 3, 2016 to Nov 30, 2016 · Lakewood, Nj
- P•• W••••• M••••••••• BD affiliatedMar 24, 2015 to Feb 18, 2016 · Eatontown, Nj
- W•••• F•••• A••••••• wirehouseOct 27, 2014 to Feb 23, 2015 · Red Bank, Nj
- M••••• S•••••• wirehouseNov 18, 2013 to Nov 11, 2014 · Shrewsbury, Nj
- P•••• S••••••••• L•• to M••••• S••••••left Jul 20, 2021, registered Feb 1, 2023 (561 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Oct 8, 2018, registered Nov 26, 2018 (49 days) · Affiliated broker-dealer or bank to another
- E•••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Mar 13, 2017, registered Mar 9, 2018 (361 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• F•••••••• S•••••••• L••left Nov 30, 2016, registered Dec 6, 2016 (6 days) · Other
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 18, 2016, registered Mar 3, 2016 (14 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Feb 23, 2015, registered Mar 24, 2015 (29 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Nov 11, 2014, registered Oct 27, 2014 (-15 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address