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.
V•••••• M•••••• P••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 27, 2023 · Mt. Laurel, Nj
- P•••••••• S••••••••• I••• BD affiliatedNov 3, 2016 to Mar 1, 2023 · Marlton, Nj
- P•• W••••• M••••••••• BD affiliatedSep 9, 2014 to Aug 24, 2015 · Vineland, Nj
- E••••• J•••• national BDDec 9, 2013 to Jun 11, 2014 · Sewell, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 9, 2012 to Dec 11, 2013 · Marlton, Nj
- T• A••••••••• I••• formerJul 9, 2012 to Dec 11, 2013 · Marlton, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 20, 2011 to Jun 28, 2012 · Pennington, Nj
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Mar 1, 2023, registered Feb 27, 2023 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to P•••••••• S••••••••• I•••left Aug 24, 2015, registered Nov 3, 2016 (437 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left Jun 11, 2014, registered Sep 9, 2014 (90 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to E••••• J••••left Dec 11, 2013, registered Dec 9, 2013 (-2 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 11, 2013, registered Jul 9, 2012 (-520 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Jun 28, 2012, registered Jul 9, 2012 (11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- V•••••• M•••••• P•••••••• left P•••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2023-02-27)Mar 1, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address