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•• L••• G••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Oct 23, 2018 · Pittsburgh, Pa
- M•• S••••••••• I••• unclassifiedApr 28, 2008 to Mar 16, 2018 · Buffalo, Ny
- C••••• I••••••••• S••••••• L•• formerAug 23, 2007 to Feb 26, 2008 · Holidaysburg, Pa
- C••••••• S••••••••• I••• BD affiliatedJul 26, 2004 to Jan 12, 2006 · Altoona, Pa
- V••••••• A•••••••• I••• BD affiliatedFeb 11, 2004 to Jul 19, 2004 · Valley Forge, Pa
- C••••••• S••••••••• I••• BD affiliatedApr 29, 2003 to Jan 21, 2004 · Altoona, Pa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedAug 9, 2000 to Jan 14, 2003 · Altoona, Pa
- M•• S••••••••• I••• to J••••• M••••••••• S•••• L••left Mar 16, 2018, registered Oct 23, 2018 (221 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to M•• S••••••••• I•••left Feb 26, 2008, registered Apr 28, 2008 (62 days) · Other
- C••••••• S••••••••• I••• to C••••• I••••••••• S••••••• L••left Jan 12, 2006, registered Aug 23, 2007 (588 days) · Other
- V••••••• A•••••••• I••• to C••••••• S••••••••• I•••left Jul 19, 2004, registered Jul 26, 2004 (7 days) · Other
- C••••••• S••••••••• I••• to V••••••• A•••••••• I•••left Jan 21, 2004, registered Feb 11, 2004 (21 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to C••••••• S••••••••• I•••left Jan 14, 2003, registered Apr 29, 2003 (105 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address