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••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 24, 2018 · Red Bank, Nj
- C•••••• G•••• • C• I•• formerAug 6, 2015 to Aug 23, 2018 · Brielle, Nj
- S•••••••• S••••••••• BD affiliatedAug 13, 2014 to Aug 14, 2015 · Marlboro, Nj
- P•• W••••• M••••••••• BD affiliatedNov 18, 2013 to Aug 1, 2014 · Summit, Nj
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJan 11, 2013 to Nov 7, 2013 · Melville, Ny
- P•• W••••• M••••••••• BD affiliatedMay 30, 2007 to Jan 8, 2013 · Cedar Grove, Nj
- A••••• A•• P••••••• S••••••• BD affiliatedSep 21, 2006 to May 22, 2007 · New York, Ny
- V•••• F•••••••• A•••••••• I••• BD affiliatedMay 24, 2004 to Aug 21, 2006 · Morristown, Nj
- P••• A••••• S••••••••• L•• BD affiliatedSep 15, 2003 to May 19, 2004 · New York, Ny
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Aug 23, 2018, registered Aug 24, 2018 (1 days) · RIA to RIA · moved with a team
- S•••••••• S••••••••• to C•••••• G•••• • C• I••left Aug 14, 2015, registered Aug 6, 2015 (-8 days) · Other
- P•• W••••• M••••••••• to S•••••••• S•••••••••left Aug 1, 2014, registered Aug 13, 2014 (12 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to P•• W••••• M•••••••••left Nov 7, 2013, registered Nov 18, 2013 (11 days) · Other
- P•• W••••• M••••••••• to C•••••• O•• F•••••••• A••••••• L••left Jan 8, 2013, registered Jan 11, 2013 (3 days) · Other
- A••••• A•• P••••••• S••••••• to P•• W••••• M•••••••••left May 22, 2007, registered May 30, 2007 (8 days) · Other
- V•••• F•••••••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left Aug 21, 2006, registered Sep 21, 2006 (31 days) · Other
- P••• A••••• S••••••••• L•• to V•••• F•••••••• A•••••••• I•••left May 19, 2004, registered May 24, 2004 (5 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address