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.
E••••• M•••••• C•••
- M••• S••••• F•••••••• S••••••••• L•• independent RIA currentsince Jul 11, 2021 · Newtown, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 5, 2011 to Jun 21, 2021 · White Plains, Ny
- E••••• J•••• national BDAug 18, 2010 to Dec 6, 2011 · St Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••• S••••• F•••••••• S••••••••• L••left Jun 21, 2021, registered Jul 11, 2021 (20 days) · Wirehouse to independent RIA
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 6, 2011, registered Dec 5, 2011 (-1 days) · Affiliated broker-dealer or bank 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address