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.
J••• A••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Naples, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 27, 2022 to Mar 31, 2025 · Marlton, Nj
- A•• I••••••••• S•••••••• I••• asset managerMay 25, 2018 to Nov 13, 2020 · Dresher, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 12, 2016 to May 4, 2018 · Pennington, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A•• I••••••••• S•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 13, 2020, registered Jul 27, 2022 (621 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•• I••••••••• S•••••••• I•••left May 4, 2018, registered May 25, 2018 (21 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address