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.
R••••••• A••••• F•••••
- A•••••• W••••• A••••••• state registered currentsince Feb 25, 2022 · Flemington, Nj
- T••••• A•••• M••••••••• L•• independent RIAJul 11, 2023 to Jul 24, 2024 · Flemington, Nj
- T••••• A•••• M••••••••• L•• independent RIAFeb 3, 2022 to Mar 2, 2022 · Littleton, Co
- Q•••••• A•••• M••••••••• I••• formerNov 18, 2008 to Feb 21, 2012 · Minneapolis, Mn
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 15, 2007 to Jun 27, 2008 · Flemington, Nj
- P•••• S••••••••• L•• no RAUMJun 21, 2002 to Sep 19, 2005 · Lebanon, Nj
- T••••• A•••• M••••••••• L•• to no registered destinationleft Jul 24, 2024 · Departure, no registered destination
- T••••• A•••• M••••••••• L•• to A•••••• W••••• A•••••••left Mar 2, 2022, registered Feb 25, 2022 (-5 days) · RIA to a state-registered adviser
- Q•••••• A•••• M••••••••• I••• to T••••• A•••• M••••••••• L••left Feb 21, 2012, registered Feb 3, 2022 (3635 days) · Other
- V••• F•••••••• A•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jun 27, 2008, registered Nov 18, 2008 (144 days) · Other
- P•••• S••••••••• L•• to V••• F•••••••• A•••••••• I•••left Sep 19, 2005, registered Oct 15, 2007 (756 days) · Other
- R••••••• A••••• F••••• no longer registered at T••••• A•••• M••••••••• L••; no later IA registration on IAPDJul 24, 2024 · Advisor departure · fact
- R••••••• A••••• F••••• left T••••• A•••• M••••••••• L•• for A•••••• W••••• A••••••• (registered 2022-02-25)Mar 2, 2022 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address