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••••• P••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Marlton, Nj
- W•••••• • R••• formerJun 15, 2012 to Jul 21, 2021 · Owings Mills, Md
- A••••••••• F•••••••• S•••••••• L•• national BDJan 19, 2010 to Dec 23, 2011 · Centreville, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 3, 2007 to May 22, 2009 · Mount Laurel, Nj
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Jul 10, 2007 · Philadelphia, Pa
- J••••• H•••••••• W••• L••••• L•• formerFeb 8, 2003 to Jan 1, 2004 · Philadelphia, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 8, 2002 to Sep 19, 2002 · Egg Harbor Township, Nj
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Dec 23, 2011, registered Jun 15, 2012 (175 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left May 22, 2009, registered Jan 19, 2010 (242 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 10, 2007, registered Jul 3, 2007 (-7 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to J••••• H•••••••• W••• L••••• L••left Sep 19, 2002, registered Feb 8, 2003 (142 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address