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•••••
- E••••• J•••• national BD currentsince Mar 16, 2016 · Branchville, Nj
- P•• W••••• M••••••••• BD affiliatedJan 12, 2015 to Mar 8, 2016 · Phoenixville, Pa
- B••••• I••••••••• A••••••• L•• independent RIASep 11, 2012 to Jan 7, 2013 · Milford, Pa
- S••••• C•••••• M••••••••• L•• independent RIAAug 11, 2010 to Sep 5, 2012 · Summit, Nj
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerJun 6, 2002 to Sep 24, 2004 · Parsippanny, Nj
- P•• W••••• M••••••••• to E••••• J••••left Mar 8, 2016, registered Mar 16, 2016 (8 days) · Other
- B••••• I••••••••• A••••••• L•• to P•• W••••• M•••••••••left Jan 7, 2013, registered Jan 12, 2015 (735 days) · Other
- S••••• C•••••• M••••••••• L•• to B••••• I••••••••• A••••••• L••left Sep 5, 2012, registered Sep 11, 2012 (6 days) · Other
- N•• Y••• L••• I••••••••• M••••••••• L•• to S••••• C•••••• M••••••••• L••left Sep 24, 2004, registered Aug 11, 2010 (2147 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address