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•••••• L••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 12, 2019 · Yardley, Pa
- M•• I•••••••• S•••••••• L•• BD affiliatedDec 5, 2018 to Mar 6, 2019 · Lawrenceville, Nj
- E••••• J•••• national BDJun 15, 2017 to Nov 14, 2018 · Princeton, Nj
- M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 6, 2019, registered Mar 12, 2019 (6 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to M•• I•••••••• S•••••••• L••left Nov 14, 2018, registered Dec 5, 2018 (21 days) · Affiliated broker-dealer or bank to another
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address