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.
M•••••• P••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 4, 2023 · Davenport, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 19, 2014 to Jun 14, 2021 · Paramus, Nj
- M••••• L•• independent RIAOct 17, 2014 to Jan 14, 2015 · Jersey City, Nj
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 7, 2013 to Oct 3, 2014 · Philadelphia, Pa
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 14, 2021, registered Apr 4, 2023 (659 days) · corporate re-registration, not a move
- M••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 14, 2015, registered Nov 19, 2014 (-56 days) · Other
- V••• F•••••••• A•••••••• I••• to M••••• L••left Oct 3, 2014, registered Oct 17, 2014 (14 days) · corporate re-registration, not a move
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address