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.
E••••• D•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 29, 2021 · Pennington, Nj
- O••••••••• • C•• I••• BD affiliatedMar 30, 2020 to Aug 20, 2021 · Jenkintown, Pa
- L••••• A•••••••• L•• formerJan 25, 2019 to Oct 4, 2019 · Fort Washington, Pa
- C•••••• A••••••• BD affiliatedJul 16, 2018 to Jan 23, 2020 · Fort Washington, Pa
- L•••••• I••••••••• independent RIAJul 16, 2018 to Jan 23, 2020 · Fort Washington, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 8, 2016 to Jun 2, 2018 · Wayne, Pa
- O••••••••• • C•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 20, 2021, registered Sep 29, 2021 (40 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• A••••••• to L••••• A•••••••• L••left Jan 23, 2020, registered Jan 25, 2019 (-363 days) · channel change inside one enterprise, not a move
- L•••••• I••••••••• to L••••• A•••••••• L••left Jan 23, 2020, registered Jan 25, 2019 (-363 days) · Affiliated broker-dealer or bank to another · moved with a team
- L••••• A•••••••• L•• to O••••••••• • C•• I•••left Oct 4, 2019, registered Mar 30, 2020 (178 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• A•••••••left Jun 2, 2018, registered Jul 16, 2018 (44 days) · Wirehouse to affiliated broker-dealer or bank
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address