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.
T••• E••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 25, 2021 · Washington Township, Nj
- O••••••••• • C•• I••• BD affiliatedJan 23, 2017 to Feb 26, 2021 · Saddle Brook, Nj
- M••••• S•••••• wirehouseMar 31, 2014 to Jan 30, 2017 · Paramus, Nj
- O••••••••• • C•• I••• to L•• F•••••••• L••left Feb 26, 2021, registered Feb 25, 2021 (-1 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to O••••••••• • C•• I•••left Jan 30, 2017, registered Jan 23, 2017 (-7 days) · Other
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address