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.
J•••••• C••••••• M••••••••
- P•••••••• A••••••• national BD currentsince Aug 13, 2021 · Union, Nj
- P•••••••• A••••••• national BDDec 14, 2016 to Feb 11, 2020 · Union, Nj
- L•••••• I••••••••• independent RIAAug 23, 2011 to Dec 17, 2014 · Marlton, Nj
- M•• F•••••••• S•••••••• I••• formerSep 25, 2008 to Sep 12, 2011 · Egg Harbor, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDDec 13, 2007 to Mar 6, 2008 · Conshohocken, Pa
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 31, 2007 to Sep 19, 2007 · Mount Laurel, Nj
- U•• F•••••••• S••••••• I••• wirehouseMar 26, 2007 to Aug 23, 2007 · Northfield, Nj
- L•••••• I••••••••• to P•••••••• A•••••••left Dec 17, 2014, registered Dec 14, 2016 (728 days) · Other
- M•• F•••••••• S•••••••• I••• to L•••••• I•••••••••left Sep 12, 2011, registered Aug 23, 2011 (-20 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Mar 6, 2008, registered Sep 25, 2008 (203 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 19, 2007, registered Dec 13, 2007 (85 days) · Other
- U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••left Aug 23, 2007, registered Jul 31, 2007 (-23 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address