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.
L•••• A••••• H•••••••••
- P•••••••• S••••••••• I••• BD affiliated currentsince Oct 30, 2017 · Wilmington, De
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Oct 19, 2017 · Newark, De
- M•• F•••••••• S•••••••• I••• formerJun 27, 2014 to Mar 25, 2017 · Newark, De
- N••••••••• S••••••••• L•• no RAUMMay 4, 2010 to Jun 20, 2014 · Bear, De
- S•• I••••••••• M••••••••• C••• mixed wealthJun 4, 2007 to Feb 20, 2009 · Oaks, Pa
- 1••• C•••••• M••••••••• C•••••• unclassifiedAug 1, 2006 to Dec 5, 2006 · Wilmington, De
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 15, 2003 to Apr 1, 2005 · Hockessin, De
- S••••••• F•••••••• S•••••••• I••• formerJun 20, 2002 to Sep 3, 2003 · Newark, De
- M•• I•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••left Oct 19, 2017, registered Oct 30, 2017 (11 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N••••••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Jun 20, 2014, registered Jun 27, 2014 (7 days) · Other
- S•• I••••••••• M••••••••• C••• to N••••••••• S••••••••• L••left Feb 20, 2009, registered May 4, 2010 (438 days) · Other
- 1••• C•••••• M••••••••• C•••••• to S•• I••••••••• M••••••••• C•••left Dec 5, 2006, registered Jun 4, 2007 (181 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to 1••• C•••••• M••••••••• C••••••left Apr 1, 2005, registered Aug 1, 2006 (487 days) · Other
- S••••••• F•••••••• S•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Sep 3, 2003, registered Sep 15, 2003 (12 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