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••••••••• D••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 16, 2021 · Belford, Nj
- C••••••••• F•••••••• N•••••• national BDOct 1, 2018 to Mar 23, 2020 · Manalapan, Nj
- S••••••• F•••••••• S•••••••• I••• formerMay 12, 2016 to Sep 4, 2018 · Wall, Nj
- C••••••••• F•••••••• N•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 23, 2020, registered Jul 16, 2021 (480 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Sep 4, 2018, registered Oct 1, 2018 (27 days) · Affiliated broker-dealer or bank to another
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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address