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••• S•••• H•••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 16, 2022 · Philadelphia, Pa
- C••••••• S••••••••• I••• BD affiliatedSep 10, 2021 to Sep 12, 2022 · Cherry H•••, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 28, 2017 to Sep 23, 2021 · Pennington, Nj
- C••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Sep 12, 2022, registered Sep 16, 2022 (4 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Sep 23, 2021, registered Sep 10, 2021 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- E••• S•••• H••• left C••••••• S••••••••• I••• for A••••• A•• P••••••• S••••••• (registered 2022-09-16)Sep 12, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 9derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address