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.
D••••• J•••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 22, 2019 · Wall Township, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDMay 22, 2017 to Feb 25, 2019 · Wall Township, Nj
- M••••• L•• independent RIAOct 13, 2016 to Sep 18, 2017 · Jersey City, Nj
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 25, 2019, registered Feb 22, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 18, 2017, registered May 22, 2017 (-119 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address