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.
G•••••• J••••• Y•••••
- C•••••• S••••• • C••• I••• national BD currentsince Nov 8, 2021 · Morristown, Nj
- W•••• F•••• A••••••• wirehouseJan 9, 2018 to Nov 9, 2020 · Red Bank, Nj
- P•• W••••• M••••••••• BD affiliatedJun 28, 2017 to Dec 22, 2017 · Bedminster, Nj
- I••••••••• A••••••• A•••• M••••••••• L•• formerMay 30, 2014 to Nov 25, 2015 · Flemington, Nj
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Nov 9, 2020, registered Nov 8, 2021 (364 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Dec 22, 2017, registered Jan 9, 2018 (18 days) · Affiliated broker-dealer or bank to wirehouse
- I••••••••• A••••••• A•••• M••••••••• L•• to P•• W••••• M•••••••••left Nov 25, 2015, registered Jun 28, 2017 (581 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address