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.
N•••• A•• H•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 30, 2023 · Marlton, Nj
- W•••• F•••• A••••••• wirehouseFeb 2, 2011 to Aug 19, 2022 · Charlotte, Nc
- I•••••••• C•••••• A••••••• formerJul 16, 2010 to Nov 17, 2010 · Horsham, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 21, 2010 · Marlton, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Voorhees, Nj
- M••••• S•••••• D• I••• unclassifiedJan 17, 2006 to Apr 2, 2007 · Voorhees, Nj
- U•••••••• S••••••••• I••• unclassifiedJul 19, 2005 to Dec 8, 2005 · Voorhees, Nj
- E•••••••• A•••••••• L•• national BDMay 21, 2004 to Jul 1, 2004 · Marlton, Nj
- I•••••••• C•••••• A••••••• to W•••• F•••• A•••••••left Nov 17, 2010, registered Feb 2, 2011 (77 days) · Other
- M••••• S•••••• to I•••••••• C•••••• A•••••••left Apr 21, 2010, registered Jul 16, 2010 (86 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•••••••• S••••••••• I••• to M••••• S•••••• D• I•••left Dec 8, 2005, registered Jan 17, 2006 (40 days) · Other
- E•••••••• A•••••••• L•• to U•••••••• S••••••••• I•••left Jul 1, 2004, registered Jul 19, 2005 (383 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address