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.
W•••••• G•••• S••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 10, 2022 · Annapolis, Md
- J••••• M••••••••• S•••• L•• BD affiliatedMay 11, 2009 to Feb 24, 2022 · Philadelphia, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to May 28, 2009 · Bryn Mawr, Pa
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJan 8, 2003 to Feb 21, 2006 · Bryn Mawr, Pa
- P••••••• L•• unclassifiedJul 26, 2002 to Jan 10, 2003 · Bala Cynwyd, Pa
- J••••• M••••••••• S•••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 24, 2022, registered Feb 10, 2022 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• G••••• M•••••• I••• to J••••• M••••••••• S•••• L••left May 28, 2009, registered May 11, 2009 (-17 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- P••••••• L•• to L••• M•••• W••• W•••••• I•••••••••left Jan 10, 2003, registered Jan 8, 2003 (-2 days) · Other
- W•••••• G•••• S•••••• left J••••• M••••••••• S•••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2022-02-10)Feb 24, 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
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address