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.
D••••• P•••••• M••••••
- E•••• S••••••••• L•• BD affiliated currentsince May 1, 2018 · Wall, Nj
- P•••••••• C•••••• M••••••••• I•• formerJul 19, 2016 to Dec 31, 2017 · Baltimore, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 28, 2016 to Apr 26, 2016 · Pennington, Nj
- M••••• S•••••• wirehouseNov 4, 2013 to Mar 28, 2016 · New York, Ny
- P•••••••• C•••••• M••••••••• I•• to E•••• S••••••••• L••left Dec 31, 2017, registered May 1, 2018 (121 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••••• C•••••• M••••••••• I••left Apr 26, 2016, registered Jul 19, 2016 (84 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 28, 2016, registered Mar 28, 2016 (0 days) · Wirehouse to wirehouse
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