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•••••• P•••••••••
- M••••• A•••••••• L•• BD affiliated currentsince Apr 28, 2020 · Morristown, Nj
- F••••••• F•••••••• S••••••••• L•• independent RIAApr 22, 2013 to Apr 27, 2020 · Towson, Md
- 1•• W•••••••• A•••••••• L••• formerMay 5, 2011 to May 15, 2013 · New York, Ny
- F••••••• F•••••••• S••••••••• L•• to M••••• A•••••••• L••left Apr 27, 2020, registered Apr 28, 2020 (1 days) · RIA to affiliated broker-dealer or bank
- 1•• W•••••••• A•••••••• L••• to F••••••• F•••••••• S••••••••• L••left May 15, 2013, registered Apr 22, 2013 (-23 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address