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••• A•••••• M••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 25, 2019 · Sparta, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDJun 22, 2018 to Mar 26, 2019 · Franklin, Nj
- I••••••••• P••••••••• I••• formerJun 7, 2016 to Sep 24, 2018 · San Antonio, Tx
- S••••••• P•••••• F••••••••• L•• formerJul 15, 2008 to Jun 2, 2016 · Franklin, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 3, 2004 to Sep 26, 2005 · Milford, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 5, 1999 to Dec 7, 2004 · Sparta, Nj
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 26, 2019, registered Nov 25, 2019 (244 days) · Affiliated broker-dealer or bank to wirehouse
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
- S••••••• P•••••• F••••••••• L•• to I••••••••• P••••••••• I•••left Jun 2, 2016, registered Jun 7, 2016 (5 days) · Other
- C•••••••• G••••• M•••••• I••• to S••••••• P•••••• F••••••••• L••left Sep 26, 2005, registered Jul 15, 2008 (1023 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Dec 7, 2004, registered Dec 3, 2004 (-4 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address