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.
S••• A••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2023 · Mt. Laurel, Nj
- G•••••••• W••••• P••••••• BD affiliatedSep 20, 2021 to Mar 7, 2022 · Palm Beach Gardens, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 1, 2021 · Wayne, Nj
- C•••• I••••••••• S••••••• C•••• formerMay 22, 2006 to Oct 1, 2012 · Westfield, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 25, 2005 to May 26, 2006 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedNov 22, 2004 to Sep 27, 2005 · New York, Ny
- G•••••••• W••••• P••••••• to L•• F•••••••• L••left Mar 7, 2022, registered May 1, 2023 (420 days) · RIA to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to G•••••••• W••••• P•••••••left Jul 1, 2021, registered Sep 20, 2021 (81 days) · Wirehouse to independent RIA
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left May 26, 2006, registered May 22, 2006 (-4 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 27, 2005, registered Oct 25, 2005 (28 days) · Other
- S••• A••• H•••••• left G•••••••• W••••• P••••••• for L•• F•••••••• L•• (registered 2023-05-01)Mar 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
- 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