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•••••• G•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 13, 2019 · Manasquan, Nj
- C••••• I••••••••• A••••••• L•• BD affiliatedDec 7, 2017 to Nov 8, 2019 · Freehold, Nj
- I••••• F•••••••• C••••••••• formerOct 13, 2015 to Dec 6, 2017 · Matawan, Nj
- E•••• N••••••• S••••••••• I••• formerJul 28, 2015 to Oct 15, 2015 · Freehold, Nj
- C••••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 8, 2019, registered Nov 13, 2019 (5 days) · Affiliated broker-dealer or bank to wirehouse
- I••••• F•••••••• C••••••••• to C••••• I••••••••• A••••••• L••left Dec 6, 2017, registered Dec 7, 2017 (1 days) · Other · moved with a team
- E•••• N••••••• S••••••••• I••• to I••••• F•••••••• C•••••••••left Oct 15, 2015, registered Oct 13, 2015 (-2 days) · Other · moved with a team
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address