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.
R•••••• G••••• K••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 25, 2022 · Philadelphia, Pa
- D••••••• C•••••• M••••••••• A•••••••• I•• formerJan 5, 2010 to Jun 23, 2010
- L•••••• F•••••••• D••••••••• I••• unclassifiedMay 25, 2006 to Dec 31, 2009 · Darnestown, Md
- D••••••• C•••••• M••••••••• A•••••••• I•• to J••• M••••• S••••••••• L••left Jun 23, 2010, registered Apr 25, 2022 (4324 days) · Other
- L•••••• F•••••••• D••••••••• I••• to D••••••• C•••••• M••••••••• A•••••••• I••left Dec 31, 2009, registered Jan 5, 2010 (5 days) · Other
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
- Wirehousederived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address