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.
A••• P•••••• B••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 8, 2015 · Fairless Hills, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 19, 2012 to Jan 16, 2015 · Pennington, Nj
- A•• I••••••••• S•••••••• I••• asset managerJun 11, 2012 to Jul 6, 2012 · Shelton, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 24, 2008 to Apr 5, 2012 · Pennington, Nj
- W•••• F•••• A••••••• wirehouseSep 10, 2003 to Nov 29, 2004 · Hamilton Square, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 2, 2002 to Jun 10, 2003 · Pennington, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 16, 2015, registered Jan 8, 2015 (-8 days) · Wirehouse to wirehouse
- A•• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 6, 2012, registered Jul 19, 2012 (13 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•• I••••••••• S•••••••• I•••left Apr 5, 2012, registered Jun 11, 2012 (67 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 29, 2004, registered Mar 24, 2008 (1211 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 10, 2003, registered Sep 10, 2003 (92 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address