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.
N••••••• C••••••••• R•••••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Dec 11, 2013 · Marlton, Nj
- P•• W••••• M••••••••• BD affiliatedDec 21, 2011 to Apr 16, 2012 · Columbus, Oh
- P•• W••••• M••••••••• BD affiliatedJun 2, 2009 to Mar 1, 2011 · Yardley, Pa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 11, 2008 to Apr 28, 2009 · Haddonfield, Nj
- P•• W••••• M••••••••• BD affiliatedOct 13, 2005 to Feb 27, 2008 · Moorestown, Nj
- P•• W••••• M••••••••• BD affiliatedFeb 22, 2005 to Jun 29, 2005 · Marlton, Nj
- P•• W••••• M••••••••• to T• P•••••• C••••• W••••• L••left Apr 16, 2012, registered Dec 11, 2013 (604 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Apr 28, 2009, registered Jun 2, 2009 (35 days) · Other
- P•• W••••• M••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 27, 2008, registered Mar 11, 2008 (13 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address