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.
A••••• P••••• A••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jan 3, 2025 · Florham Park, Nj
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 19, 2018 to May 28, 2019 · Berkeley Heights, Nj
- S•••••••• S••••••••• BD affiliatedJun 19, 2017 to Jun 12, 2018 · Astoria, Ny
- U•• F•••••••• S••••••• I••• wirehouseApr 7, 2016 to May 11, 2016 · Weehawken, Nj
- V•••• F•••••••• A•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left May 28, 2019, registered Jan 3, 2025 (2047 days) · Other
- S•••••••• S••••••••• to V•••• F•••••••• A•••••••• I•••left Jun 12, 2018, registered Jun 19, 2018 (7 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to S•••••••• S•••••••••left May 11, 2016, registered Jun 19, 2017 (404 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
- No RAUM reportedderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address