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.
S•••••• J••••• A••••••
- B••••••••• W••••• A•••••••• L•• no RAUM currentsince Jan 11, 2022 · Wanamassa, Nj
- V••••••••• A••••••• S••••••• BD affiliatedDec 21, 2018 to Mar 31, 2020 · Doylestown, Pa
- O••••••• A••••••• A•• F•••••••• S•••••••• L•• formerJan 27, 2017 to Nov 10, 2017 · Doylestown, Pa
- O• I••••••••• M••••••••• C• BD affiliatedOct 22, 2012 to Dec 31, 2016 · Cincinnati, Oh
- N•• A•••• M••••••••• L•• BD affiliatedJul 20, 2004 to Oct 24, 2012 · Wanamaaz, Nj
- C••••••••• F•••••••• C••••••••• I••• unclassifiedJun 19, 2002 to Oct 22, 2012 · Ocean, Nj
- V••••••••• A••••••• S••••••• to B••••••••• W••••• A•••••••• L••left Mar 31, 2020, registered Jan 11, 2022 (651 days) · Affiliated broker-dealer or bank to independent RIA
- O••••••• A••••••• A•• F•••••••• S•••••••• L•• to V••••••••• A••••••• S•••••••left Nov 10, 2017, registered Dec 21, 2018 (406 days) · Other
- O• I••••••••• M••••••••• C• to O••••••• A••••••• A•• F•••••••• S•••••••• L••left Dec 31, 2016, registered Jan 27, 2017 (27 days) · Other
- N•• A•••• M••••••••• L•• to O• I••••••••• M••••••••• C•left Oct 24, 2012, registered Oct 22, 2012 (-2 days) · Other
- C••••••••• F•••••••• C••••••••• I••• to N•• A•••• M••••••••• L••left Oct 22, 2012, registered Jul 20, 2004 (-3016 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
- No RAUM reportedderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address