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.
E••• W•••• S•••••••
- E•••••••• A•••••••• L•• national BD currentsince Jun 3, 2022 · Ft Washington, Pa
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Jun 7, 2022 · Fairfax, Va
- V••• F•••••••• P•••••••• L•• formerAug 18, 2010 to Jan 3, 2011 · Rancocas, Nj
- I••••••• C•••••• M••••••••• L•• independent RIAJul 22, 2010 to Aug 19, 2010 · Conshohocken, Pa
- A••••• A•• P••••••• S••••••• BD affiliatedSep 10, 2009 to May 21, 2010 · Princeton, Nj
- E•••••••• A•••••••• L•• national BDOct 29, 2002 to Feb 25, 2008 · Princeton, Nj
- V••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Jun 7, 2022, registered Jun 3, 2022 (-4 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- I••••••• C•••••• M••••••••• L•• to V••• F•••••••• P•••••••• L••left Aug 19, 2010, registered Aug 18, 2010 (-1 days) · Other
- A••••• A•• P••••••• S••••••• to I••••••• C•••••• M••••••••• L••left May 21, 2010, registered Jul 22, 2010 (62 days) · Other
- E•••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Feb 25, 2008, registered Sep 10, 2009 (563 days) · Other
- E••• W•••• S••••••• left V••• F•••••••• A•••••••• I••• for E•••••••• A•••••••• L•• (registered 2022-06-03)Jun 7, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address