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.
T••••• M• P•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 6, 2022 · Malvern, Pa
- M••••• S•••••• wirehouseAug 28, 2021 to Sep 29, 2022 · New York, Ny
- M•• W••••• M••••••••• L•• unclassifiedNov 12, 2020 to Aug 10, 2021 · Malvern, Pa
- R•••••• J•••• • A••••••••• I••• national BDMay 14, 2019 to Jun 15, 2020 · New York, Ny
- L•••• A••••• • C•• L•• asset managerFeb 20, 2019 to May 10, 2019 · Jersey City, Nj
- M••••• S•••••• to L•• F•••••••• L••left Sep 29, 2022, registered Sep 6, 2022 (-23 days) · Wirehouse to independent RIA
- M•• W••••• M••••••••• L•• to M••••• S••••••left Aug 10, 2021, registered Aug 28, 2021 (18 days) · Other
- R•••••• J•••• • A••••••••• I••• to M•• W••••• M••••••••• L••left Jun 15, 2020, registered Nov 12, 2020 (150 days) · Other
- L•••• A••••• • C•• L•• to R•••••• J•••• • A••••••••• I•••left May 10, 2019, registered May 14, 2019 (4 days) · Other
- T••••• M• P••••••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2022-09-06)Sep 29, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address