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.
C•••••• D•••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 21, 2018 · Philadelphia, Pa
- C•••••• O•• A•••••••• L•• formerDec 6, 2016 to Nov 12, 2018 · Wilmington, De
- M••••• S•••••• wirehouseMay 10, 2016 to Aug 19, 2016 · Mount Laurel, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 12, 2012 to Jan 4, 2016 · Philadelphia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 2004 to Jan 3, 2012 · Philadelphia, Pa
- C•••••• O•• A•••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 12, 2018, registered Nov 21, 2018 (9 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to C•••••• O•• A•••••••• L••left Aug 19, 2016, registered Dec 6, 2016 (109 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 4, 2016, registered May 10, 2016 (127 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address