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••• R••••• N••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Dec 12, 2019 · Marlton, Nj
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 3, 2017 to Dec 12, 2019 · Marlton, Nj
- S•••••• N••••••• • C••••••• I••••••••• national BDJun 17, 2009 to Oct 3, 2017 · Marlton, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedSep 5, 2005 to Jul 13, 2009 · Marlton, Nj
- C••••• I••••••••• A••••••• L•• to C•••••••• F••••••••• I•••left Dec 12, 2019, registered Dec 12, 2019 (0 days) · Affiliated broker-dealer or bank to another
- S•••••• N••••••• • C••••••• I••••••••• to C••••• I••••••••• A••••••• L••left Oct 3, 2017, registered Oct 3, 2017 (0 days) · Other
- J••••• M••••••••• S•••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jul 13, 2009, registered Jun 17, 2009 (-26 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address