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•••• N•••••
- L•• F•••••••• L•• BD affiliated currentsince May 9, 2024 · Line Lexington, Pa
- S••••••••• A•••••• A•••••••• I••• formerOct 26, 2017 to May 9, 2024 · Lexington, Pa
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 22, 2017 to Nov 2, 2017 · Line Lexington, Pa
- P••• A••••• S••••••••• L•• BD affiliatedAug 16, 2012 to Feb 10, 2017 · New Britain, Pa
- W••••••• F•••••••• S•••••••• I••• formerJun 28, 2011 to May 31, 2012 · Spring City, Pa
- C••••• F•••••••• A••••••• I•• state registeredFeb 22, 2001 to Dec 8, 2006 · Marlton, Nj
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left May 9, 2024, registered May 9, 2024 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Nov 2, 2017, registered Oct 26, 2017 (-7 days) · Other · moved with a team
- P••• A••••• S••••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Feb 10, 2017, registered Feb 22, 2017 (12 days) · Other
- W••••••• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left May 31, 2012, registered Aug 16, 2012 (77 days) · Other
- C••••• F•••••••• A••••••• I•• to W••••••• F•••••••• S•••••••• I•••left Dec 8, 2006, registered Jun 28, 2011 (1663 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address