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.
W•••••••• D•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 20, 2023 · New York, Ny
- P•••••••• A••••••• national BDMay 28, 2020 to Jul 19, 2022 · Chalfont, Pa
- P•••••••• A••••••• national BDMay 24, 2018 to Nov 14, 2018 · Chalfont, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 6, 2006 to Mar 18, 2016 · Pennington, Nj
- P•••••••• A••••••• to J••• M••••• S••••••••• L••left Jul 19, 2022, registered Jan 20, 2023 (185 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••••• A•••••••left Mar 18, 2016, registered May 24, 2018 (797 days) · Wirehouse to affiliated broker-dealer or bank
- W•••••••• D••• left P•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-01-20)Jul 19, 2022 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address