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.
T••• M•••• D••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 2, 2020 · Pennington, Nj
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 19, 2017 to May 7, 2020 · Newtown, Pa
- S•••••••• S••••••••• BD affiliatedJun 26, 2013 to Jan 13, 2016 · Somerville, Nj
- W•••• F•••• A••••••• wirehouseMar 2, 2012 to Jun 17, 2013 · Yardley, Pa
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 7, 2020, registered Jun 2, 2020 (26 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• S••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 13, 2016, registered Jun 19, 2017 (523 days) · Other
- W•••• F•••• A••••••• to S•••••••• S•••••••••left Jun 17, 2013, registered Jun 26, 2013 (9 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address