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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 18, 2018 · Pennington, Nj
- B•••••••• F•••••••• M••••••••• I•• otherOct 27, 2006 to Jan 9, 2017 · New York, Ny
- M•••••• L•••• I••••••••• M••••••• L• unclassifiedNov 17, 2004 to Oct 12, 2006 · Plainsboro, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 15, 2004 to Nov 17, 2004 · Plainsboro, Nj
- B•••••••• F•••••••• M••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 9, 2017, registered Jun 18, 2018 (525 days) · Other
- M•••••• L•••• I••••••••• M••••••• L• to B•••••••• F•••••••• M••••••••• I••left Oct 12, 2006, registered Oct 27, 2006 (15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• L•••• I••••••••• M••••••• L•left Nov 17, 2004, registered Nov 17, 2004 (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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address