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.
O••• K••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Mar 20, 2017 · Philadelphia, Pa
- B•••••••• I••••••••• M••••••••• L•• asset managerOct 8, 2013 to Jan 5, 2017 · Princeton, Nj
- W•••• F•••• A••••••• wirehouseJan 11, 2013 to Oct 11, 2013 · Haddon Township, Nj
- B•••••••• I••••••••• M••••••••• L•• asset managerSep 29, 2006 to Jan 3, 2013 · Plainsboro, Nj
- M•••••• L•••• I••••••••• M••••••• L• unclassifiedMar 17, 2005 to Sep 29, 2006 · Plainboro, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 28, 2004 to May 26, 2006 · Plainsboro, Nj
- B•••••••• I••••••••• M••••••••• L•• to J••••• M••••••••• S•••• L••left Jan 5, 2017, registered Mar 20, 2017 (74 days) · Other
- W•••• F•••• A••••••• to B•••••••• I••••••••• M••••••••• L••left Oct 11, 2013, registered Oct 8, 2013 (-3 days) · Other
- B•••••••• I••••••••• M••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2013, registered Jan 11, 2013 (8 days) · Other
- M•••••• L•••• I••••••••• M••••••• L• to B•••••••• I••••••••• M••••••••• L••left Sep 29, 2006, registered Sep 29, 2006 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• L•••• I••••••••• M••••••• L•left May 26, 2006, registered Mar 17, 2005 (-435 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address