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.
P•••• P••• S••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Moorestown, Nj
- I••••• F•••••••• C••••••••• formerJul 27, 2010 to Feb 20, 2018 · Tabernacle, Nj
- V•• A••••••• S••••••• formerApr 28, 2008 to Jul 19, 2010 · Overland Park, Ks
- P•••• S••••••••• L•• no RAUMApr 11, 2007 to Apr 28, 2008 · Marlton, Nj
- W•••• F•••• A••••••• wirehouseJan 22, 2004 to Feb 21, 2007 · Philadelphia, Pa
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 20, 2018, registered Feb 14, 2018 (-6 days) · corporate re-registration, not a move
- V•• A••••••• S••••••• to I••••• F•••••••• C•••••••••left Jul 19, 2010, registered Jul 27, 2010 (8 days) · Other
- P•••• S••••••••• L•• to V•• A••••••• S•••••••left Apr 28, 2008, registered Apr 28, 2008 (0 days) · Other
- W•••• F•••• A••••••• to P•••• S••••••••• L••left Feb 21, 2007, registered Apr 11, 2007 (49 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address