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••••••••• C•••••••••
- S••••••• F•••••••• P••••••• I•• independent RIA currentsince Aug 15, 2023 · Sparta, Nj
- S••••• F••••••••• L•• BD affiliatedDec 21, 2018 to Jun 30, 2023 · Parsippany, Nj
- S••••• E••••••• I•• formerDec 12, 2018 to Dec 21, 2018 · Parsippany, Nj
- S••••• F••••••••• L•• to S••••••• F•••••••• P••••••• I••left Jun 30, 2023, registered Aug 15, 2023 (46 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• E••••••• I•• to S••••• F••••••••• L••left Dec 21, 2018, registered Dec 21, 2018 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•• C••••••••• C••••••••• left S••••• F••••••••• L•• for S••••••• F•••••••• P••••••• I•• (registered 2023-08-15)Jun 30, 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address