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••• A•••••• S•••••••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Apr 28, 2022 · West Chester, Pa
- M• H••••••• S••••••••• I••• BD affiliatedJul 15, 2011 to May 28, 2022 · Morristown, Nj
- E••••••••• W••••• M••••••••• • C•••••••• B•••••••• L•• formerApr 16, 2008 to Jul 6, 2012 · Iselin, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 13, 2002 to Dec 7, 2005 · Stamford, Ct
- M• H••••••• S••••••••• I••• to W••••••••• A••••••• P••••••• L••left May 28, 2022, registered Apr 28, 2022 (-30 days) · Affiliated broker-dealer or bank to independent RIA
- E••••••••• W••••• M••••••••• • C•••••••• B•••••••• L•• to M• H••••••• S••••••••• I•••left Jul 6, 2012, registered Jul 15, 2011 (-357 days) · Other
- C•••••••• G••••• M•••••• I••• to E••••••••• W••••• M••••••••• • C•••••••• B•••••••• L••left Dec 7, 2005, registered Apr 16, 2008 (861 days) · Other
- T••• A•••••• S••••••••• left M• H••••••• S••••••••• I••• for W••••••••• A••••••• P••••••• L•• (registered 2022-04-28)May 28, 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