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.
B•••• G•••• E•••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Moorestown, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 25, 2014 to Dec 5, 2017 · Marlton, Nj
- F•• S••••••••• C••••••••• formerMar 3, 2009 to Aug 27, 2014 · Mount Laurel, Nj
- S•••••••• F•••••••• state registeredMar 2, 2009 to Aug 29, 2014 · Mount Laurel, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Dec 5, 2017, registered Nov 29, 2017 (-6 days) · corporate re-registration, not a move
- S•••••••• F•••••••• to F•• S••••••••• C•••••••••left Aug 29, 2014, registered Mar 3, 2009 (-2005 days) · Other
- F•• S••••••••• C••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 27, 2014, registered Aug 25, 2014 (-2 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address