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••• T•••• A•••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 28, 2025 · Marlton, Nj
- A••••• A•• P••••••• S••••••• BD affiliatedJul 17, 2023 to May 10, 2024 · Iselin, Nj
- U•• F•••••••• S••••••• I••• wirehouseJul 24, 2017 to Jul 10, 2023 · Weehawken, Nj
- G••••• P•••••••• S••••••••• I••• formerDec 18, 2012 to Jun 2, 2016 · Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 6, 2007 to Dec 6, 2012 · Pennington, Nj
- A••••• A•• P••••••• S••••••• to M•• I•••••••• S•••••••• L••left May 10, 2024, registered Feb 28, 2025 (294 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to A••••• A•• P••••••• S•••••••left Jul 10, 2023, registered Jul 17, 2023 (7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- G••••• P•••••••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Jun 2, 2016, registered Jul 24, 2017 (417 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G••••• P•••••••• S••••••••• I•••left Dec 6, 2012, registered Dec 18, 2012 (12 days) · Other
- A••• T•••• A••• left A••••• A•• P••••••• S••••••• for M•• I•••••••• S•••••••• L•• (registered 2025-02-28)May 10, 2024 · Advisor changed firm · fact
- A••• T•••• A••• left U•• F•••••••• S••••••• I••• for A••••• A•• P••••••• S••••••• (registered 2023-07-17)Jul 10, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address