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.
M•••• T•••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince May 13, 2019 · Mount Laurel, Nj
- A••••• A•• P••••••• S••••••• BD affiliatedAug 27, 2014 to Apr 23, 2019 · Princeton, Nj
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedMar 14, 2008 to Aug 7, 2014 · Columbus, Oh
- A••••• A•• P••••••• S••••••• to V•••• F•••••••• A•••••••• I•••left Apr 23, 2019, registered May 13, 2019 (20 days) · Affiliated broker-dealer or bank to another
- N••••••••• I••••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Aug 7, 2014, registered Aug 27, 2014 (20 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