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.
- P••• I••••••••• L•• asset manager currentsince Apr 2, 2018 · Newark, Nj
- C•••••• O•• A•••••••• L•• formerMay 10, 2017 to Jan 16, 2018 · East Brunswick, Nj
- P•• W••••• M••••••••• BD affiliatedJan 9, 2015 to May 2, 2017 · Warren, Nj
- C•••••• O•• A•••••••• L•• to P••• I••••••••• L••left Jan 16, 2018, registered Apr 2, 2018 (76 days) · Other
- P•• W••••• M••••••••• to C•••••• O•• A•••••••• L••left May 2, 2017, registered May 10, 2017 (8 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address