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.
L•••••• T••••• B••••••
- P•• W••••• M••••••••• BD affiliated currentsince Feb 6, 2023 · Princeton, Nj
- R•• C•••••• M••••••• L•• national BDJan 13, 2023 to Feb 10, 2023 · Princeton, Nj
- P•• W••••• M••••••••• BD affiliatedMar 18, 2019 to Jan 18, 2023 · Princeton, Nj
- R•• C•••••• M••••••• L•• to P•• W••••• M•••••••••left Feb 10, 2023, registered Feb 6, 2023 (-4 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to R•• C•••••• M••••••• L••left Jan 18, 2023, registered Jan 13, 2023 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•••••• T••••• B•••••• left R•• C•••••• M••••••• L•• for P•• W••••• M••••••••• (registered 2023-02-06)Feb 10, 2023 · Advisor changed firm · fact
- L•••••• T••••• B•••••• left P•• W••••• M••••••••• for R•• C•••••• M••••••• L•• (registered 2023-01-13)Jan 18, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address