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•••••• I•••••••••
- P•• W••••• M••••••••• BD affiliated currentsince May 31, 2024 · Manasquan, Nj
- W•••• F•••• A••••••• wirehouseMar 21, 2022 to May 31, 2024 · Oakhurst, Nj
- H•••••• T••••••• • K•••• L•• independent RIAMar 19, 2021 to Feb 16, 2022 · New York, Ny
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left May 31, 2024, registered May 31, 2024 (0 days) · Wirehouse to affiliated broker-dealer or bank
- H•••••• T••••••• • K•••• L•• to W•••• F•••• A•••••••left Feb 16, 2022, registered Mar 21, 2022 (33 days) · Affiliated broker-dealer or bank to wirehouse
- A•••••• I••••••••• left W•••• F•••• A••••••• for P•• W••••• M••••••••• (registered 2024-05-31)May 31, 2024 · Advisor changed firm · fact
- A•••••• I••••••••• left H•••••• T••••••• • K•••• L•• for W•••• F•••• A••••••• (registered 2022-03-21)Feb 16, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address