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.
M•••••• P•••••• N•••••••••
- S••••• F••••••••• L•• BD affiliated currentsince May 8, 2023 · Morristown, Nj
- W•••• E••••• G••••• I••• BD affiliatedSep 10, 2009 to Apr 23, 2023 · Morristown, Nj
- R•••• A••••••• S•••••••• I••• independent RIAJul 10, 2007 to Oct 9, 2009 · Glenview, Il
- B••••••••• S••••••••• C••••••••• unclassifiedJun 15, 2006 to Jul 12, 2007 · San Juan Capistrano, Ca
- W•••• F•••• A••••••• wirehouseOct 1, 2000 to May 19, 2006 · Naples, Fl
- W•••• E••••• G••••• I••• to S••••• F••••••••• L••left Apr 23, 2023, registered May 8, 2023 (15 days) · Affiliated broker-dealer or bank to another
- R•••• A••••••• S•••••••• I••• to W•••• E••••• G••••• I•••left Oct 9, 2009, registered Sep 10, 2009 (-29 days) · Other
- B••••••••• S••••••••• C••••••••• to R•••• A••••••• S•••••••• I•••left Jul 12, 2007, registered Jul 10, 2007 (-2 days) · Other
- W•••• F•••• A••••••• to B••••••••• S••••••••• C•••••••••left May 19, 2006, registered Jun 15, 2006 (27 days) · Other
- M•••••• P•••••• N••••••••• left W•••• E••••• G••••• I••• for S••••• F••••••••• L•• (registered 2023-05-08)Apr 23, 2023 · Advisor changed firm · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address