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.
J••••• M• G•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 20, 2015 · Scranton, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedMar 26, 2009 to Mar 24, 2015 · Moosic, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 17, 2008 to Apr 8, 2009 · New York, Ny
- J••••• M••••••••• S•••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 24, 2015, registered Mar 20, 2015 (-4 days) · Other
- C•••••••• G••••• M•••••• I••• to J••••• M••••••••• S•••• L••left Apr 8, 2009, registered Mar 26, 2009 (-13 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address