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.
B•••• M•••••• D•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 10, 2023 · Voorhees, Nj
- G•••••••• W••••• P••••••• BD affiliatedJul 8, 2019 to Feb 10, 2023 · Marlton, Nj
- U•• F•••••••• S••••••• I••• wirehouseJan 9, 2009 to Jul 11, 2019 · Mt. Laurel, Nj
- W•••• F•••• A••••••• wirehouseJul 18, 2003 to Jan 12, 2009 · Marlton, Nj
- M••••• S•••••• D• I••• unclassifiedJun 7, 2002 to Jul 21, 2003 · Voorhees, Nj
- G•••••••• W••••• P••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 10, 2023, registered Feb 10, 2023 (0 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to G•••••••• W••••• P•••••••left Jul 11, 2019, registered Jul 8, 2019 (-3 days) · Wirehouse to independent RIA · moved with a team
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jan 12, 2009, registered Jan 9, 2009 (-3 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Jul 21, 2003, registered Jul 18, 2003 (-3 days) · Other
- B•••• M•••••• D••• left G•••••••• W••••• P••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-02-10)Feb 10, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address