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.
G•••• J•••• P•••••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Jun 26, 2023 · Portland, Me
- C••••••• S••••••••• I••• BD affiliatedJan 19, 2021 to Jun 5, 2023 · Conshohocken, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 27, 2013 to Dec 31, 2020 · Marlton, Nj
- T• A••••••••• I••• formerNov 27, 2013 to Jan 11, 2021 · Marlton, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Feb 16, 2005 · Rochester, Ny
- Q•••• • R•••••• I••• unclassifiedJun 10, 2004 to Oct 20, 2004 · Rochester, Ny
- C••••••• S••••••••• I••• to T• P•••••• C••••• W••••• L••left Jun 5, 2023, registered Jun 26, 2023 (21 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to C••••••• S••••••••• I•••left Jan 11, 2021, registered Jan 19, 2021 (8 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Nov 27, 2013 (-2591 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 16, 2005, registered Nov 27, 2013 (3206 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- G•••• J•••• P••••• left C••••••• S••••••••• I••• for T• P•••••• C••••• W••••• L•• (registered 2023-06-26)Jun 5, 2023 · Advisor changed firm · fact
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address