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.
C••••••••• C••••
- E•••••••• A•••••••• L•• national BD currentsince May 2, 2022 · Matawan, Nj
- P••• I••••••••• L•• asset managerJul 24, 2018 to May 5, 2022 · Newark, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 15, 2015 to May 31, 2018 · Pennington, Nj
- P••• I••••••••• L•• to E•••••••• A•••••••• L••left May 5, 2022, registered May 2, 2022 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••• I••••••••• L••left May 31, 2018, registered Jul 24, 2018 (54 days) · Other
- C••••••••• C•••• left P••• I••••••••• L•• for E•••••••• A•••••••• L•• (registered 2022-05-02)May 5, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address