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.
P•••• C••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 30, 2022 · Iselin, Nj
- S•••••••• S••••••••• BD affiliatedApr 23, 2019 to Jul 7, 2022 · Aberdeen, Nj
- J••• M••••• S••••••••• L•• wirehouseMar 7, 2017 to Jan 4, 2019 · Warren, Nj
- P•• W••••• M••••••••• BD affiliatedNov 30, 2016 to Feb 27, 2017 · Edison, Nj
- P•• W••••• M••••••••• BD affiliatedNov 15, 2005 to Feb 27, 2012 · Avenel, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Sep 13, 2005 · Elizabeth, Nj
- Q•••• • R•••••• I••• unclassifiedMar 5, 2003 to Oct 20, 2004 · New York, Ny
- S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 7, 2022, registered Sep 30, 2022 (85 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to S•••••••• S•••••••••left Jan 4, 2019, registered Apr 23, 2019 (109 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Feb 27, 2017, registered Mar 7, 2017 (8 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Sep 13, 2005, registered Nov 15, 2005 (63 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- P•••• C•••••• left S•••••••• S••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-09-30)Jul 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address