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.
M••• J••••• M••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 26, 2018 · Pennington, Nj
- S••••••• P•••••• F••••••••• L•• formerAug 17, 2016 to Dec 27, 2016 · San Diego, Ca
- P•• W••••• M••••••••• BD affiliatedJul 19, 2011 to Apr 12, 2016 · Narberth, Pa
- C•••••• S••••• • C••• I••• national BDJun 6, 2002 to Feb 15, 2011 · Philadelphia, Pa
- S••••••• P•••••• F••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 27, 2016, registered Mar 26, 2018 (454 days) · Other
- P•• W••••• M••••••••• to S••••••• P•••••• F••••••••• L••left Apr 12, 2016, registered Aug 17, 2016 (127 days) · Other
- C•••••• S••••• • C••• I••• to P•• W••••• M•••••••••left Feb 15, 2011, registered Jul 19, 2011 (154 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address