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•••• P••••••• D••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 13, 2018 · Florham Park, Nj
- N••• F•••••••• G••••• I••• formerApr 27, 2018 to Jun 20, 2018 · Fairfield, Nj
- E•••••••• A•••••••• L•• national BDMay 30, 2017 to Apr 27, 2018 · Morristown, Nj
- E•••••••• A•••••••• L•• national BDMar 28, 2014 to Aug 30, 2016 · Morristown, Nj
- N••• F•••••••• G••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 20, 2018, registered Jul 13, 2018 (23 days) · RIA to wirehouse
- E•••••••• A•••••••• L•• to N••• F•••••••• G••••• I•••left Apr 27, 2018, registered Apr 27, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address