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••• D•••••• M••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Rehoboth Beach, De
- S••••••••• A•••••• A•••••••• I••• formerSep 18, 2020 to Jun 14, 2024 · Malvern, Pa
- S•• A•••••••• I••• formerJul 11, 2018 to Sep 18, 2020 · Malvem, Pa
- F•• S••••••••• C••••••••• formerAug 13, 2014 to Jul 16, 2018 · Marlton, Nj
- P••••••• I••••••••• A•••••••• L•• formerNov 13, 2009 to Aug 18, 2014 · Lansdowne, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 12, 2009 · Mt. Laurel, Nj
- M••••• S•••••• • C•• L•• unclassifiedAug 29, 2008 to Jun 1, 2009 · Mt. Laurel, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedFeb 18, 2005 to Sep 10, 2008 · Marlton, Nj
- L••• M•••• W••• W•••••• I••••••••• unclassifiedNov 27, 2002 to Aug 7, 2003 · Marlton, Nj
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to S•• A•••••••• I•••left Jul 16, 2018, registered Jul 11, 2018 (-5 days) · Affiliated broker-dealer or bank to another
- P••••••• I••••••••• A•••••••• L•• to F•• S••••••••• C•••••••••left Aug 18, 2014, registered Aug 13, 2014 (-5 days) · Other
- M••••• S•••••• to P••••••• I••••••••• A•••••••• L••left Nov 12, 2009, registered Nov 13, 2009 (1 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- J••••• M••••••••• S•••• L•• to M••••• S•••••• • C•• L••left Sep 10, 2008, registered Aug 29, 2008 (-12 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to J••••• M••••••••• S•••• L••left Aug 7, 2003, registered Feb 18, 2005 (561 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address