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.
A•• L•••
- M••• S••••• F•••••••• S••••••••• L•• independent RIA currentsince Mar 20, 2020 · Newtown, Pa
- M••• S••••• F•••••••• S••••••••• L•• formerJul 19, 2019 to Jul 1, 2020 · Mt. Laurel, Nj
- J••••• M••••••••• S•••• L•• BD affiliatedApr 22, 2014 to Jul 22, 2019 · Philadelphia, Pa
- M••• S••••• F•••••••• S••••••••• L•• to M••• S••••• F•••••••• S••••••••• L••left Jul 1, 2020, registered Mar 20, 2020 (-103 days) · channel change inside one enterprise, not a move · moved with a team
- J••••• M••••••••• S•••• L•• to M••• S••••• F•••••••• S••••••••• L••left Jul 22, 2019, registered Jul 19, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address