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.
P•••••• D••••• P•••
- M•••••• BD affiliated currentsince Nov 15, 2021 · Manasquan, Nj
- W•• I••••••••• L•• independent RIAAug 16, 2016 to Oct 29, 2021 · Red Bank, Nj
- S•••••••• A••••••• L•• national BDSep 24, 2009 to Jul 10, 2013 · Atlanta, Ga
- W•• I••••••••• L•• to M••••••left Oct 29, 2021, registered Nov 15, 2021 (17 days) · RIA to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to W•• I••••••••• L••left Jul 10, 2013, registered Aug 16, 2016 (1133 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address