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.
C•••• C••••••••• M•••••
- R•• C•••••• M••••••• L•• national BD currentsince Jun 17, 2020 · Mount Laurel, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedFeb 11, 2009 to Jun 17, 2020 · Marlton, Nj
- W•••• F•••• A••••••• wirehouseJan 9, 2007 to Feb 12, 2009 · Marlton, Nj
- J••••• M••••••••• S•••• L•• to R•• C•••••• M••••••• L••left Jun 17, 2020, registered Jun 17, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Feb 12, 2009, registered Feb 11, 2009 (-1 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address