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.
T••••• E••••• C•••••
- B••••• C•••••• M••••••••• I••• mixed wealth currentsince Sep 26, 2022 · Dayton, Oh
- E•• F•••••••• A••••••• independent RIAApr 8, 2020 to Mar 30, 2021 · Media, Pa
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 31, 2019 to May 7, 2020 · Mount Laurel, Nj
- C••••• A•••••• N••••••• L•• formerJul 25, 2003 to Apr 2, 2004 · Phoenix, Az
- E•• F•••••••• A••••••• to B••••• C•••••• M••••••••• I•••left Mar 30, 2021, registered Sep 26, 2022 (545 days) · Affiliated broker-dealer or bank to independent RIA
- V•••• F•••••••• A•••••••• I••• to E•• F•••••••• A•••••••left May 7, 2020, registered Apr 8, 2020 (-29 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to V•••• F•••••••• A•••••••• I•••left Apr 2, 2004, registered Jul 31, 2019 (5598 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address