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••• A••• F••••
- L•• F•••••••• L•• BD affiliated currentsince May 31, 2024 · Pennsville, Nj
- P•• W••••• M••••••••• BD affiliatedJan 13, 2016 to Jun 3, 2024 · Wilmington, De
- I••••••••• C•••••• O• A••••••• I••• formerMay 11, 2012 to Dec 7, 2015 · Pennsville, Nj
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jun 3, 2024, registered May 31, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• C•••••• O• A••••••• I••• to P•• W••••• M•••••••••left Dec 7, 2015, registered Jan 13, 2016 (37 days) · Other
- M••• A••• F•••• left P•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2024-05-31)Jun 3, 2024 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address