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.
L••• D•••• B••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 11, 2012 · Mount Laurel, Nj
- M••••• S•••••• wirehouseDec 9, 2009 to May 16, 2012 · Mount Laurel, Nj
- W•••• F•••• A••••••• wirehouseMay 5, 2008 to Jan 30, 2009 · Marlton, Nj
- U•• F•••••••• S••••••• I••• wirehouseJun 15, 2005 to Feb 27, 2008 · Mt. Laurel, Nj
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to May 20, 2005 · Marlton, Nj
- P••••••••• E••••• G••••• L•• unclassifiedJul 24, 2002 to Jul 1, 2003 · Marlton, Nj
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left May 16, 2012, registered May 11, 2012 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Jan 30, 2009, registered Dec 9, 2009 (313 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Feb 27, 2008, registered May 5, 2008 (68 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left May 20, 2005, registered Jun 15, 2005 (26 days) · Wirehouse to wirehouse
- 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address