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•••••• R••••• G•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 24, 2014 · Conshohocken, Pa
- 1••• A••••••• formerFeb 4, 2009 to Mar 21, 2014 · West Conshohocken, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDJan 27, 2009 to Feb 5, 2009 · Marlton, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Oct 16, 2008 · West Conshohocken, Pa
- M••••• S•••••• D• I••• unclassifiedJun 16, 2006 to Apr 2, 2007 · Wayne, Pa
- 1••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 21, 2014, registered Mar 24, 2014 (3 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to 1••• A•••••••left Feb 5, 2009, registered Feb 4, 2009 (-1 days) · Other
- M••••• S•••••• • C•• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 16, 2008, registered Jan 27, 2009 (103 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address