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.
D••••• W• R•••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Dec 12, 2011 · Morristown, Nj
- R••••••• C••••• A••••••• S••••••• formerSep 8, 2009 to Dec 12, 2011 · Dover, De
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 31, 2005 to Sep 9, 2009 · Dover, De
- P•• W••••• M••••••••• BD affiliatedJul 26, 2004 to Apr 28, 2005 · Wilmington, De
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 12, 2004 to Jun 18, 2004 · Mclean, Va
- R••••••• C••••• A••••••• S••••••• to P•••••• A•••••• G••••• L••left Dec 12, 2011, registered Dec 12, 2011 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••• C••••• A••••••• S•••••••left Sep 9, 2009, registered Sep 8, 2009 (-1 days) · Other
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 28, 2005, registered May 31, 2005 (33 days) · Other
- C•••••••• G••••• M•••••• I••• to P•• W••••• M•••••••••left Jun 18, 2004, registered Jul 26, 2004 (38 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address