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.
A••••• B••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Warrington, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMay 1, 2017 to Jul 13, 2018 · Warrington, Pa
- R••••••••• formerMar 30, 2016 to Oct 20, 2016 · Morristown, Nj
- H•••••• • W•••• A•••• M••••••••• I••• BD affiliatedFeb 13, 2015 to Jan 26, 2016 · Parsippany, Nj
- P••••••• W••••• M••••••••• G••••• L•• independent RIAFeb 14, 2011 to May 8, 2012 · Flemington, Nj
- L•• F•••••••• L•• BD affiliatedJan 13, 2011 to Nov 29, 2011 · Flemington, Nj
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Mar 29, 2005 · Kennett Square, Pa
- J••••• H•••••••• W••• L••••• L•• formerDec 2, 2003 to Jan 1, 2004 · Bristol, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- R••••••••• to S•••••••• A••••••• L••left Oct 20, 2016, registered May 1, 2017 (193 days) · Other
- H•••••• • W•••• A•••• M••••••••• I••• to R•••••••••left Jan 26, 2016, registered Mar 30, 2016 (64 days) · Other
- P••••••• W••••• M••••••••• G••••• L•• to H•••••• • W•••• A•••• M••••••••• I•••left May 8, 2012, registered Feb 13, 2015 (1011 days) · Other
- L•• F•••••••• L•• to P••••••• W••••• M••••••••• G••••• L••left Nov 29, 2011, registered Feb 14, 2011 (-288 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Mar 29, 2005, registered Jan 13, 2011 (2116 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
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