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.
D••••• P••• D•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 22, 2019 · Voorhees, Nj
- S•••••• W••••• P•••••••• L•• BD affiliatedSep 16, 2015 to Oct 18, 2019 · Marlton, Nj
- O•••• F•• I••• formerMay 13, 2009 to Sep 18, 2015 · Marlton, Nj
- E•• F•••••••• A••••••• independent RIASep 2, 2004 to May 20, 2009 · Media, Pa
- P••• A••••• S••••••••• L•• BD affiliatedJan 15, 2003 to Aug 17, 2004 · Mt. Laurel, Nj
- S•••••• W••••• P•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 18, 2019, registered Oct 22, 2019 (4 days) · RIA to affiliated broker-dealer or bank
- O•••• F•• I••• to S•••••• W••••• P•••••••• L••left Sep 18, 2015, registered Sep 16, 2015 (-2 days) · Other
- E•• F•••••••• A••••••• to O•••• F•• I•••left May 20, 2009, registered May 13, 2009 (-7 days) · Other
- P••• A••••• S••••••••• L•• to E•• F•••••••• A•••••••left Aug 17, 2004, registered Sep 2, 2004 (16 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address