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••• H•••• D•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 14, 2016 · Princeton, Nj
- T• P•••••• C••••• W••••• L•• BD affiliatedApr 23, 2013 to Jan 15, 2016 · Tinton Falls, Nj
- U•• F•••••••• S••••••• I••• wirehouseSep 13, 2011 to Oct 5, 2011 · Wall, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2007 to Dec 12, 2007 · Pennington, Nj
- T• P•••••• C••••• W••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 15, 2016, registered Jan 14, 2016 (-1 days) · Other
- U•• F•••••••• S••••••• I••• to T• P•••••• C••••• W••••• L••left Oct 5, 2011, registered Apr 23, 2013 (566 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 12, 2007, registered Sep 13, 2011 (1371 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address