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•••• L••• S•••••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 22, 2019 · Mays Landing, Nj
- C•••••• A••••••• BD affiliatedMar 18, 2014 to Apr 16, 2019 · Marlton, Nj
- L•••••• I••••••••• independent RIAJan 10, 2013 to Apr 16, 2019 · Marlton, Nj
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 1, 2009 to Dec 17, 2012 · Thorofare, Nj
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Apr 28, 2009 · Turnersville, Nj
- J••••• H•••••••• W••• L••••• L•• formerSep 11, 2003 to Jan 1, 2004 · Wildwood Crest, Nj
- C•••••• A••••••• to C•••••• S••••• • C••• I•••left Apr 16, 2019, registered Apr 22, 2019 (6 days) · Affiliated broker-dealer or bank to another
- L•••••• I••••••••• to C•••••• A•••••••left Apr 16, 2019, registered Mar 18, 2014 (-1855 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•••••• I•••••••••left Dec 17, 2012, registered Jan 10, 2013 (24 days) · Other
- P•• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 28, 2009, registered May 1, 2009 (3 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address