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.
J• R••••• L••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 25, 2022 · Florham Park, Nj
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 19, 2014 to Mar 31, 2022 · Morristown, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 27, 2014 · Paramus, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Paramus, Nj
- M••••• S•••••• D• I••• unclassifiedOct 20, 2006 to Apr 2, 2007 · Paramus, Nj
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 23, 2006 · Paramus, Nj
- P••••••••• E••••• G••••• L•• unclassifiedJun 12, 2002 to Jul 1, 2003 · Paramus, Nj
- S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 31, 2022, registered Mar 25, 2022 (-6 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 27, 2014, registered Feb 19, 2014 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left Oct 23, 2006, registered Oct 20, 2006 (-3 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- J• R••••• L•••• left S•••••• N••••••• • C••••••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-03-25)Mar 31, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address