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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 10, 2015 · Yardley, Pa
- G•• S••••••••• I••• BD affiliatedDec 9, 2014 to Aug 28, 2015 · Palm Beach Gardens, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Dec 10, 2014 · Fort Washington, Pa
- V••• F•••••••• P•••••••• L•• formerNov 18, 2008 to Jan 3, 2011 · Moorestown, Nj
- H••••• F•••••••• G••••• I••• unclassifiedApr 2, 2008 to Nov 20, 2008 · Marlton, Nj
- E•••••••• A•••••••• L•• national BDJul 17, 2007 to Mar 19, 2008 · Cherry Hill, Nj
- S•••••••• F••••••••• I••• formerJul 6, 2006 to Oct 31, 2006 · Crown Point, In
- G•• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 28, 2015, registered Sep 10, 2015 (13 days) · Other
- V••• F•••••••• A•••••••• I••• to G•• S••••••••• I•••left Dec 10, 2014, registered Dec 9, 2014 (-1 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- H••••• F•••••••• G••••• I••• to V••• F•••••••• P•••••••• L••left Nov 20, 2008, registered Nov 18, 2008 (-2 days) · Other
- E•••••••• A•••••••• L•• to H••••• F•••••••• G••••• I•••left Mar 19, 2008, registered Apr 2, 2008 (14 days) · Other
- S•••••••• F••••••••• I••• to E•••••••• A•••••••• L••left Oct 31, 2006, registered Jul 17, 2007 (259 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address