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.
L••• M•••• B••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 10, 2018 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseFeb 22, 2011 to Jul 27, 2012 · Haddon Township, Nj
- O•••••• S••••••• A••••••• C••• formerDec 22, 2010 to Dec 31, 2010 · Vorhees, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 2, 2006 to Dec 31, 2008 · Mt. Laurel, Nj
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 27, 2012, registered Sep 10, 2018 (2236 days) · Wirehouse to affiliated broker-dealer or bank
- O•••••• S••••••• A••••••• C••• to W•••• F•••• A•••••••left Dec 31, 2010, registered Feb 22, 2011 (53 days) · Other
- C•••••••• G••••• M•••••• I••• to O•••••• S••••••• A••••••• C•••left Dec 31, 2008, registered Dec 22, 2010 (721 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address