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.
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- G•••••• S•••• W••••• S•••••••• L••• BD affiliated currentsince Oct 24, 2023 · Morristown, Nj
- U••••• C•••••• F•••••••• A••••••• independent RIAJan 4, 2021 to Oct 24, 2023 · Cherry Hill, Nj
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedNov 14, 2017 to Dec 23, 2020 · Latham, Ny
- U••••• C•••••• F•••••••• A••••••• to G•••••• S•••• W••••• S•••••••• L•••left Oct 24, 2023, registered Oct 24, 2023 (0 days) · Affiliated broker-dealer or bank to another
- G•••••• S•••• W••••• S•••••••• L••• to U••••• C•••••• F•••••••• A•••••••left Dec 23, 2020, registered Jan 4, 2021 (12 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••• V••••••• D•••••• left U••••• C•••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2023-10-24)Oct 24, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address