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•••• B••••• S••••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 2, 2014 · Conshohocken, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 20, 2014 · Newtown Square, Pa
- M••••• S•••••• • C•• L•• unclassifiedJul 31, 2007 to Jun 1, 2009 · West Chester, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedJun 15, 2005 to Aug 22, 2007 · West Chester, Pa
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 20, 2014, registered Oct 2, 2014 (-18 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- J••••• M••••••••• S•••• L•• to M••••• S•••••• • C•• L••left Aug 22, 2007, registered Jul 31, 2007 (-22 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
- National broker-dealer RIAderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address