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.
B••• A••• B••••••
- M••••• S•••••• wirehouse currentsince Nov 17, 2014 · Purchase, Ny
- L•• F•••••••• L•• BD affiliatedDec 1, 2010 to Apr 7, 2014 · Plymouth Meeting, Pa
- M•• A•••• M••••••••• L•• mixed wealthNov 24, 2010 to Oct 6, 2014 · Conshohocken, Pa
- N•• A•••••••• I••• unclassifiedSep 9, 2010 to Dec 1, 2010 · Plymouth Meeting, Pa
- M•• A•••• M••••••••• L•• to L•• F•••••••• L••left Oct 6, 2014, registered Dec 1, 2010 (-1405 days) · Other
- L•• F•••••••• L•• to M••••• S••••••left Apr 7, 2014, registered Nov 17, 2014 (224 days) · Other
- N•• A•••••••• I••• to M•• A•••• M••••••••• L••left Dec 1, 2010, registered Nov 24, 2010 (-7 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address