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.
R•••••• A•••••• P••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 14, 2022 · Fernandina Beach, Fl
- B• R•••• W••••• A•••••••• I••• BD affiliatedJan 28, 2016 to Jan 21, 2022 · Red Bank, Nj
- U•• F•••••••• S••••••• I••• wirehouseDec 2, 2011 to Jan 26, 2016 · Wall, Nj
- W•••• F•••• A••••••• wirehouseDec 7, 2007 to Dec 6, 2011 · Avon By The Sea, Nj
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Dec 7, 2007 · Spring Lake, Nj
- P••••••••• E••••• G••••• L•• unclassifiedJul 25, 2002 to Jul 1, 2003 · Spring Lake, Nj
- B• R•••• W••••• A•••••••• I••• to L•• F•••••••• L••left Jan 21, 2022, registered Jan 14, 2022 (-7 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to B• R•••• W••••• A•••••••• I•••left Jan 26, 2016, registered Jan 28, 2016 (2 days) · Other
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Dec 6, 2011, registered Dec 2, 2011 (-4 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Dec 7, 2007, registered Dec 7, 2007 (0 days) · channel change inside one enterprise, not a move
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- R•••••• A•••••• P•••• left B• R•••• W••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-01-14)Jan 21, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address