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•••• W• G•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 16, 2020 · Pennington, Nj
- S•••••••• S••••••••• BD affiliatedFeb 1, 2019 to Aug 28, 2020 · Woodbridge, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 4, 2018 to Dec 18, 2018 · Morristown, Nj
- J••• M••••• S••••••••• L•• wirehouseOct 10, 2012 to Oct 1, 2018 · Hillsborough, Nj
- E•••••••• A•••••••• L•• national BDDec 16, 2008 to Jul 31, 2012 · Edison, Nj
- S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 28, 2020, registered Nov 16, 2020 (80 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• S•••••••••left Dec 18, 2018, registered Feb 1, 2019 (45 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 1, 2018, registered Oct 4, 2018 (3 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Jul 31, 2012, registered Oct 10, 2012 (71 days) · Affiliated broker-dealer or bank to wirehouse
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address