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.
J••• D•••• F•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 3, 2018 · Pennington, Nj
- S•••••••• I••••••••• M••••••••• formerJan 23, 2017 to Mar 8, 2018 · Saint Louis, Mo
- P•• W••••• M••••••••• BD affiliatedDec 22, 2011 to Jan 6, 2017 · Bridgewater, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 6, 2010 · Red Bank, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 26, 2007 to Oct 23, 2009 · East Brunswick, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Nov 26, 2007 · Red Bank, Nj
- T• A••••••••• I••• formerFeb 12, 2004 to Nov 26, 2007 · Red Bank, Nj
- S•••••••• I••••••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2018, registered May 3, 2018 (56 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- P•• W••••• M••••••••• to S•••••••• I••••••••• M•••••••••left Jan 6, 2017, registered Jan 23, 2017 (17 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Dec 6, 2010, registered Dec 22, 2011 (381 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 26, 2007, registered Apr 25, 2006 (-580 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 26, 2007, registered Nov 26, 2007 (0 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address