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••••• R••••••• P•••••
- P••••••• F•••••••• S•••••••• I••• BD affiliated currentsince Oct 24, 2022 · Selinsgrove, Pa
- W•••• F•••• A••••••• wirehouseJun 16, 2017 to Nov 7, 2022 · Selingsgrove, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedSep 25, 2012 to Jun 19, 2017 · Red Bank, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 15, 2012 · Red Bank, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 24, 2009 to Jun 1, 2009 · Red Bank, Nj
- O••••• P••••••• I••••••••• M••••••••• L•• unclassifiedNov 12, 1998 to Dec 31, 2008 · Shrewsbury, Nj
- W•••• F•••• A••••••• to P••••••• F•••••••• S•••••••• I•••left Nov 7, 2022, registered Oct 24, 2022 (-14 days) · Wirehouse to independent RIA
- J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••left Jun 19, 2017, registered Jun 16, 2017 (-3 days) · Other
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Oct 15, 2012, registered Sep 25, 2012 (-20 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- O••••• P••••••• I••••••••• M••••••••• L•• to M••••• S•••••• • C•• L••left Dec 31, 2008, registered Apr 24, 2009 (114 days) · Other
- T••••• R••••••• P••••• left W•••• F•••• A••••••• for P••••••• F•••••••• S•••••••• I••• (registered 2022-10-24)Nov 7, 2022 · Advisor changed firm · fact
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address