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•••••• M••• G••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Jun 3, 2019 · Lewes, De
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jun 4, 2019 · Greenville, De
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 22, 2007 to Oct 23, 2009 · Wilmington, De
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jul 3, 2007 · Jenkintown, Pa
- P••••••••• E••••• G••••• L•• unclassifiedJan 4, 2002 to Jul 1, 2003 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Jun 4, 2019, registered Jun 3, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 3, 2007, registered Jun 22, 2007 (-11 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address