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.
R••••• J••• R•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 13, 2020 · Toms River, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDNov 14, 2017 to Jan 10, 2020 · Toms River, Nj
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 2, 2015 to Dec 8, 2017 · Toms River, Nj
- E•• F•••••••• S•••••••• C•••• unclassifiedAug 31, 2011 to Sep 30, 2019 · Toms River, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 1, 2007 to Jan 2, 2015 · Toms River, Nj
- C••••••••• A•••••••• I•• formerJun 24, 2002 to Oct 1, 2007 · Toms River, Nj
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Jan 10, 2020, registered Jan 13, 2020 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- E•• F•••••••• S•••••••• C•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 30, 2019, registered Jan 2, 2015 (-1732 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 8, 2017, registered Nov 14, 2017 (-24 days) · Other · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to E•• F•••••••• S•••••••• C••••left Jan 2, 2015, registered Aug 31, 2011 (-1220 days) · Other
- C••••••••• A•••••••• I•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 1, 2007, registered Oct 1, 2007 (0 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
- National broker-dealer RIAderived
- Years in industry
- 48derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address