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•••••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince May 18, 2022 · Bethel Park, Pa
- 1••• A••••••• formerNov 4, 2013 to May 26, 2022 · West Conshohocken, Pa
- W••••• A•••• M••••••••• I•• unclassifiedMar 12, 2001 to Apr 9, 2003 · Cranberry Township, Pa
- 1••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left May 26, 2022, registered May 18, 2022 (-8 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W••••• A•••• M••••••••• I•• to 1••• A•••••••left Apr 9, 2003, registered Nov 4, 2013 (3862 days) · Other
- J••••• M••••••••• left 1••• A••••••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2022-05-18)May 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address