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.
D•••• C••••••• G•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 31, 2010 · Deptford, Nj
- T• W••••• M••••••••• S••••••• I••• unclassifiedNov 26, 2008 to Mar 3, 2010 · Bensalem, Pa
- L•• F•••••••• L•• BD affiliatedMar 4, 2008 to Dec 1, 2008 · Philadelphia, Pa
- I••• S••••••••• I••• unclassifiedMar 21, 2007 to Mar 4, 2008 · Jenkintown, Pa
- P•• W••••• M••••••••• BD affiliatedJan 27, 2004 to Aug 2, 2006 · Lumberton, Nj
- W•••• F•••• A••••••• wirehouseOct 14, 2003 to Jan 27, 2004 · Pennsauken, Nj
- J••••• H•••••••• W••• L••••• L•• formerJun 3, 2003 to Oct 14, 2003 · Springfield, Pa
- T• W••••• M••••••••• S••••••• I••• to L•• F•••••••• L••left Mar 3, 2010, registered Mar 31, 2010 (28 days) · Other
- L•• F•••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Dec 1, 2008, registered Nov 26, 2008 (-5 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left Mar 4, 2008, registered Mar 4, 2008 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to I••• S••••••••• I•••left Aug 2, 2006, registered Mar 21, 2007 (231 days) · Other
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Jan 27, 2004, registered Jan 27, 2004 (0 days) · Other
- J••••• H•••••••• W••• L••••• L•• to W•••• F•••• A•••••••left Oct 14, 2003, registered Oct 14, 2003 (0 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
- 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