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••• D••••• E•••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Jan 9, 2024 · Hinesville, Ga
- C••••••••• F•••••••• N•••••• national BDMar 11, 2005 to Dec 31, 2006 · Newtown Square, Pa
- S••••••••• A•••••• A•••••••• I••• formerJul 2, 2001 to Feb 11, 2005 · Newton Square, Pa
- C••••••••• F•••••••• N•••••• to A••••••• F•••••••• A•••••••• L••left Dec 31, 2006, registered Jan 9, 2024 (6218 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Feb 11, 2005, registered Mar 11, 2005 (28 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address