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••••• M••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Nov 1, 2024 · Berkeley Heights, Nj
- P•••• S••••••••• L•• no RAUMMar 13, 2023 to Nov 5, 2024 · East Brunswick, Nj
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 10, 2021 to Mar 15, 2023 · Berkeley Heights, Nj
- P•••• S••••••••• L•• to V•••• F•••••••• A•••••••• I•••left Nov 5, 2024, registered Nov 1, 2024 (-4 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to P•••• S••••••••• L••left Mar 15, 2023, registered Mar 13, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- D••••• M•••• left P•••• S••••••••• L•• for V•••• F•••••••• A•••••••• I••• (registered 2024-11-01)Nov 5, 2024 · Advisor changed firm · fact
- D••••• M•••• left V•••• F•••••••• A•••••••• I••• for P•••• S••••••••• L•• (registered 2023-03-13)Mar 15, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address