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.
D••••• C••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 14, 2023 · Paramus, Nj
- P•••••• P•••••••• P•••••••• L•• formerAug 3, 2021 to Mar 10, 2023 · Paramus, Nj
- C•••••• S••••• • C••• I••• national BDJul 27, 2018 to Aug 10, 2021 · Sacramento, Ca
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerJun 26, 2013 to May 21, 2018 · New Y•••, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 30, 2012 to Jun 20, 2013 · Pennington, Nj
- P•••••• P•••••••• P•••••••• L•• to L•• F•••••••• L••left Mar 10, 2023, registered Mar 14, 2023 (4 days) · RIA to RIA · moved with a team
- C•••••• S••••• • C••• I••• to P•••••• P•••••••• P•••••••• L••left Aug 10, 2021, registered Aug 3, 2021 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- N•• Y••• L••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left May 21, 2018, registered Jul 27, 2018 (67 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•• Y••• L••• I••••••••• M••••••••• L••left Jun 20, 2013, registered Jun 26, 2013 (6 days) · Other
- D••••• C••• M••••• left P•••••• P•••••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2023-03-14)Mar 10, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address