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.
R••• T• G••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jun 29, 2023 · Conshohocken, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 5, 2005 to Jul 3, 2023 · Blue Bell, Pa
- G••••••••• I••••••••• asset managerApr 28, 2004 to Aug 30, 2004 · Conshohocken, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 5, 2003 to Apr 14, 2004 · Pennington, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Jul 3, 2023, registered Jun 29, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- G••••••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 30, 2004, registered Dec 5, 2005 (462 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G••••••••• I•••••••••left Apr 14, 2004, registered Apr 28, 2004 (14 days) · Other
- R••• T• G•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•• C•••••• M••••••• L•• (registered 2023-06-29)Jul 3, 2023 · 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