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.
J••• J•••• W•••••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Jan 17, 2014 · Marlton, Nj
- W•••• F•••• A••••••• wirehouseNov 8, 2011 to Jan 9, 2014 · Minneapolis, Mn
- O•••• F•• I••• formerOct 17, 2003 to Jan 6, 2005 · Cherry Hill, Nj
- Q•••• • R•••••• I••• unclassifiedOct 28, 2002 to Aug 7, 2003 · Philidelphia, Pa
- W•••• F•••• A••••••• to T• P•••••• C••••• W••••• L••left Jan 9, 2014, registered Jan 17, 2014 (8 days) · Other
- O•••• F•• I••• to W•••• F•••• A•••••••left Jan 6, 2005, registered Nov 8, 2011 (2497 days) · Other
- Q•••• • R•••••• I••• to O•••• F•• I•••left Aug 7, 2003, registered Oct 17, 2003 (71 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address