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.
L•••• K•••••• P••••
- M••• S••••• F•••••••• S••••••••• L•• independent RIA currentsince Mar 11, 2020 · Newtown, Pa
- M••• S••••• F•••••••• S••••••••• L•• formerSep 12, 2012 to Jul 1, 2020 · Newtown, Pa
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 19, 2010 to Jun 13, 2011 · Berkeley Heights, Nj
- W•••• F•••• A••••••• wirehouseOct 28, 2008 to Aug 6, 2010 · Haddon Township, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 8, 2007 to Oct 28, 2008 · Mount Laurel, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 19, 2006 to Sep 6, 2007 · Mount Laurel, Nj
- M••• S••••• F•••••••• S••••••••• L•• to M••• S••••• F•••••••• S••••••••• L••left Jul 1, 2020, registered Mar 11, 2020 (-112 days) · channel change inside one enterprise, not a move · moved with a team
- V•••• F•••••••• A•••••••• I••• to M••• S••••• F•••••••• S••••••••• L••left Jun 13, 2011, registered Sep 12, 2012 (457 days) · Other
- W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••left Aug 6, 2010, registered Aug 19, 2010 (13 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 28, 2008, registered Oct 28, 2008 (0 days) · Wirehouse to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address