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•••• A••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 12, 2023 · Wyckoff, Nj
- P•••• S••••••••• L•• no RAUMDec 20, 2021 to Apr 4, 2023 · Basking Ridge, Nj
- M• H••••••• S••••••••• I••• BD affiliatedApr 13, 2018 to Nov 3, 2020 · Red Bank, Nj
- P•• W••••• M••••••••• BD affiliatedMar 10, 2016 to Sep 14, 2017 · Edison, Nj
- S••••••• P•••••• F••••••••• L•• formerSep 11, 2015 to Feb 25, 2016 · Long Branch, Nj
- M•• F•••••••• S•••••••• I••• formerApr 21, 2015 to Sep 11, 2015 · Wall Township, Nj
- P•••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 4, 2023, registered Apr 12, 2023 (8 days) · Affiliated broker-dealer or bank to another
- M• H••••••• S••••••••• I••• to P•••• S••••••••• L••left Nov 3, 2020, registered Dec 20, 2021 (412 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to M• H••••••• S••••••••• I•••left Sep 14, 2017, registered Apr 13, 2018 (211 days) · Other
- S••••••• P•••••• F••••••••• L•• to P•• W••••• M•••••••••left Feb 25, 2016, registered Mar 10, 2016 (14 days) · Other
- M•• F•••••••• S•••••••• I••• to S••••••• P•••••• F••••••••• L••left Sep 11, 2015, registered Sep 11, 2015 (0 days) · Other
- D•••• A•••• left P•••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-04-12)Apr 4, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address