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•••••• A••••• B•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 27, 2020 · Haddonfield, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 18, 2008 to Aug 28, 2020 · Mount Laurel, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedAug 23, 2005 to Nov 19, 2008 · Haddonfield, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 5, 2002 to May 6, 2004 · Mt Laurel, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 28, 2020, registered Aug 27, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••••• M••••••••• S•••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 19, 2008, registered Nov 18, 2008 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to J••••• M••••••••• S•••• L••left May 6, 2004, registered Aug 23, 2005 (474 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address