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.
K•••••• C••••••••• P•••
- M••• S••••• F•••••••• S••••••••• L•• independent RIA currentsince Mar 25, 2020 · Newtown, Pa
- M••• S••••• F•••••••• S••••••••• L•• formerMay 22, 2018 to Jul 1, 2020 · Flemington, Nj
- A••••••• W••••• M••••••••• G••••• L•• independent RIAOct 14, 2014 to May 15, 2018 · Flemington, Nj
- P••••••• W••••• M••••••••• G••••• L•• independent RIAJun 26, 2007 to Sep 26, 2014 · Flemington, Nj
- L•• F•••••••• L•• BD affiliatedMar 2, 2007 to Nov 29, 2011 · Flemington, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 3, 2002 to Nov 15, 2002 · Pennington, Nj
- M••• S••••• F•••••••• S••••••••• L•• to M••• S••••• F•••••••• S••••••••• L••left Jul 1, 2020, registered Mar 25, 2020 (-98 days) · channel change inside one enterprise, not a move · moved with a team
- A••••••• W••••• M••••••••• G••••• L•• to M••• S••••• F•••••••• S••••••••• L••left May 15, 2018, registered May 22, 2018 (7 days) · RIA to RIA
- P••••••• W••••• M••••••••• G••••• L•• to A••••••• W••••• M••••••••• G••••• L••left Sep 26, 2014, registered Oct 14, 2014 (18 days) · Other
- L•• F•••••••• L•• to P••••••• W••••• M••••••••• G••••• L••left Nov 29, 2011, registered Jun 26, 2007 (-1617 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Nov 15, 2002, registered Mar 2, 2007 (1568 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address