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.
- P•••••••• A••••••• national BD currentsince May 17, 2021 · Chalfont, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 11, 2020 to Apr 7, 2021 · Pennington, Nj
- E•••••• C•••••• M••••••••• L•• formerMar 7, 2019 to Jul 9, 2020 · King Of Prussia, Pa
- V•••• F•••••••• A•••••••• I••• BD affiliatedDec 22, 2017 to Mar 25, 2019 · Mount Laurel, Nj
- F••••• I••••••••• independent RIAJul 18, 2012 to Nov 12, 2012 · North Wales, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••••• A•••••••left Apr 7, 2021, registered May 17, 2021 (40 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 9, 2020, registered Aug 11, 2020 (33 days) · RIA to wirehouse
- V•••• F•••••••• A•••••••• I••• to E•••••• C•••••• M••••••••• L••left Mar 25, 2019, registered Mar 7, 2019 (-18 days) · Affiliated broker-dealer or bank to independent RIA
- F••••• I••••••••• to V•••• F•••••••• A•••••••• I•••left Nov 12, 2012, registered Dec 22, 2017 (1866 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address