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.
L••• Z••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 17, 2016 · Mt. Laurel, Nj
- M••••• S•••••• wirehouseSep 17, 2013 to Aug 25, 2016 · Marlton, Nj
- P•••• S••••••••• L•• no RAUMMar 30, 2012 to Jul 15, 2013 · Marlton, Nj
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Aug 25, 2016, registered Aug 17, 2016 (-8 days) · Wirehouse to wirehouse · moved with a team
- P•••• S••••••••• L•• to M••••• S••••••left Jul 15, 2013, registered Sep 17, 2013 (64 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address