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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 24, 2022 · York, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedFeb 27, 2009 to Apr 8, 2022 · York, Pa
- J••••• M••••••••• S•••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 8, 2022, registered Mar 24, 2022 (-15 days) · Affiliated broker-dealer or bank to another
- D•••• A••• S••••••• left J••••• M••••••••• S•••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-03-24)Apr 8, 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address