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•• L•••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 9, 2018 · Newton, Nj
- H•••••••• A•••••••• L•• BD affiliatedApr 12, 2018 to Aug 10, 2018 · Owings Mills, Md
- A••••• A•• P••••••• S••••••• BD affiliatedJul 5, 2012 to Apr 12, 2018 · Roseland, Nj
- B••••• I••••••••• A••••••• L•• independent RIAAug 3, 2007 to Aug 6, 2010 · Milford, Pa
- H•••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Aug 10, 2018, registered Oct 9, 2018 (60 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to H•••••••• A•••••••• L••left Apr 12, 2018, registered Apr 12, 2018 (0 days) · Affiliated broker-dealer or bank to another
- B••••• I••••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Aug 6, 2010, registered Jul 5, 2012 (699 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address