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.
D•••• S•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 17, 2014 · Myrtle Beach, Sc
- P••••••• W••••• M••••••••• G••••• L•• independent RIASep 17, 2012 to Jul 2, 2014 · Flemington, Nj
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 23, 2012 · Princeton, Nj
- P••••••••• E••••• G••••• L•• unclassifiedMay 24, 2002 to Jul 1, 2003 · Princeton, Nj
- P••••••• W••••• M••••••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 2, 2014, registered Jun 17, 2014 (-15 days) · Other
- W•••• F•••• A••••••• to P••••••• W••••• M••••••••• G••••• L••left Aug 23, 2012, registered Sep 17, 2012 (25 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address