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••• T•••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Mar 22, 2023 · Minneapolis, Mn
- O•••• F•• I••• formerJul 27, 2017 to Mar 21, 2023 · Radnor, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 17, 2014 to Jul 25, 2017 · Pennington, Nj
- O•••• F•• I••• to T••••••• I••••••••• M••••••••• I•••left Mar 21, 2023, registered Mar 22, 2023 (1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• F•• I•••left Jul 25, 2017, registered Jul 27, 2017 (2 days) · Other
- E••• T••••• left O•••• F•• I••• for T••••••• I••••••••• M••••••••• I••• (registered 2023-03-22)Mar 21, 2023 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address