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.
S•••••••• J••••• P••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 19, 2018 · Las Vegas, Nv
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 29, 2015 to May 2, 2018 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDJan 8, 2010 to Nov 3, 2015 · Marlton, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 11, 2010 · Mt. Laurel, Nj
- M••••• S•••••• • C•• L•• unclassifiedDec 14, 2007 to Jun 1, 2009 · Mt. Laurel, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Dec 17, 2007 · Haddonfield, Nj
- Q•••• • R•••••• I••• unclassifiedSep 22, 2004 to Oct 20, 2004 · Haddonfield, Nj
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Sep 21, 2004 · Philadelphia, Pa
- J••••• H•••••••• W••• L••••• L•• formerMay 27, 2003 to Jan 1, 2004 · Philadelphia, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 10, 2002 to Jun 3, 2003 · Mt Laurel, Nj
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left May 2, 2018, registered Apr 19, 2018 (-13 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• G••••• M•••••• I•••left Nov 3, 2015, registered Oct 29, 2015 (-5 days) · Other
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jan 11, 2010, registered Jan 8, 2010 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• S•••••• • C•• L••left Dec 17, 2007, registered Dec 14, 2007 (-3 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to Q•••• • R•••••• I•••left Sep 21, 2004, registered Sep 22, 2004 (1 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to J••••• H•••••••• W••• L••••• L••left Jun 3, 2003, registered May 27, 2003 (-7 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
- 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