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•• A••• W•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 21, 2022 · Mount Laurel, Nj
- W•••• F•••• A••••••• wirehouseFeb 7, 2008 to Jan 26, 2022 · Philadelphia, Pa
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Jan 23, 2008 · Philadelphia, Pa
- J••••• H•••••••• W••• L••••• L•• formerJun 13, 2003 to Jan 1, 2004 · Philadelphia, Pa
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 26, 2022, registered Jan 21, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Jan 23, 2008, registered Feb 7, 2008 (15 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- J•• A••• W••••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2022-01-21)Jan 26, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address