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.
J••••• J••••••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Jun 22, 2023 · Franklin Park, Nj
- C•••••• A••••••• BD affiliatedSep 11, 2019 to May 24, 2023 · Iselin, Nj
- L•••••• I••••••••• independent RIASep 11, 2019 to May 24, 2023 · Iselin, Nj
- B• R•••• W••••• A•••••••• I••• BD affiliatedSep 13, 2017 to Oct 16, 2017 · New York, Ny
- M••••• L•• independent RIAOct 17, 2014 to Dec 22, 2015 · Jersey City, Nj
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 18, 2013 to Oct 3, 2014 · Jersey City, Nj
- C•••••• A••••••• to L•••••• I•••••••••left May 24, 2023, registered Sep 11, 2019 (-1351 days) · Affiliated broker-dealer or bank to another
- L•••••• I••••••••• to T• P•••••• C••••• W••••• L••left May 24, 2023, registered Jun 22, 2023 (29 days) · RIA to affiliated broker-dealer or bank
- B• R•••• W••••• A•••••••• I••• to C•••••• A•••••••left Oct 16, 2017, registered Sep 11, 2019 (695 days) · Other
- M••••• L•• to B• R•••• W••••• A•••••••• I•••left Dec 22, 2015, registered Sep 13, 2017 (631 days) · Other
- V••• F•••••••• A•••••••• I••• to M••••• L••left Oct 3, 2014, registered Oct 17, 2014 (14 days) · corporate re-registration, not a move
- J••••• J•••••• left L•••••• I••••••••• for T• P•••••• C••••• W••••• L•• (registered 2023-06-22)May 24, 2023 · Advisor changed firm · fact
- J••••• J•••••• left C•••••• A••••••• for L•••••• I••••••••• (registered 2019-09-11)May 24, 2023 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address