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.
R•••••• J••• G•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Freehold, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 25, 2023 to Mar 31, 2025 · Bridgewater, Nj
- E•••••• C•••••• M••••••••• L•• formerMay 27, 2020 to Aug 18, 2023 · Morristown, Nj
- P••• A••••• S••••••••• L•• BD affiliatedOct 8, 2019 to May 22, 2020 · Wall, Nj
- P•••• S••••••••• L•• no RAUMAug 6, 2018 to Oct 3, 2019 · East Brunswick, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 18, 2023, registered Sep 25, 2023 (38 days) · RIA to affiliated broker-dealer or bank
- P••• A••••• S••••••••• L•• to E•••••• C•••••• M••••••••• L••left May 22, 2020, registered May 27, 2020 (5 days) · Affiliated broker-dealer or bank to independent RIA
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Oct 3, 2019, registered Oct 8, 2019 (5 days) · Affiliated broker-dealer or bank to another
- R•••••• J••• G••••••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-09-25)Aug 18, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address