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.
C•••••• P•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 12, 2015 · Wayne, Pa
- H•••••••• A•••••••• L•• BD affiliatedOct 13, 2009 to Aug 16, 2010 · New York, Ny
- R••••• I••••••••• A•••••••• I•• BD affiliatedMay 6, 2009 to Nov 3, 2009 · Wilmington, De
- U•• F•••••••• S••••••• I••• wirehouseOct 12, 2006 to Dec 31, 2008 · Manalapan, Nj
- H•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 16, 2010, registered May 12, 2015 (1730 days) · Other
- R••••• I••••••••• A•••••••• I•• to H•••••••• A•••••••• L••left Nov 3, 2009, registered Oct 13, 2009 (-21 days) · Other
- U•• F•••••••• S••••••• I••• to R••••• I••••••••• A•••••••• I••left Dec 31, 2008, registered May 6, 2009 (126 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address