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••••• J•••• national BD currentsince Aug 14, 2023 · Chester, Nj
- O•••• W•••••• I••• BD affiliatedJul 5, 2018 to Sep 30, 2022 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 4, 2018 to Jun 20, 2018 · Pennington, Nj
- O•••• W•••••• I••• to E••••• J••••left Sep 30, 2022, registered Aug 14, 2023 (318 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• W•••••• I•••left Jun 20, 2018, registered Jul 5, 2018 (15 days) · Wirehouse to affiliated broker-dealer or bank
- B•••••• C••••••••• left O•••• W•••••• I••• for E••••• J•••• (registered 2023-08-14)Sep 30, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address