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•••••• S•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 30, 2024 · Bethlehem, Pa
- D•••••••• A••••••• S•••••••• L•• BD affiliatedDec 8, 2023 to Sep 27, 2024 · South Jordan, Ut
- D••• I••••••••• L•• formerMay 3, 2018 to Dec 31, 2023 · Bethlehem, Pa
- Q•••••• A•••• M••••••••• I••• formerApr 11, 2014 to May 4, 2018 · Minneapolis, Mn
- S•• BD affiliatedSep 12, 2012 to Apr 17, 2014 · Bethlehem, Pa
- Q•••••• A•••• M••••••••• I••• formerNov 21, 2011 to Sep 27, 2012 · Bethlehem, Pa
- D•••••••• A••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 27, 2024, registered Sep 30, 2024 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- D••• I••••••••• L•• to D•••••••• A••••••• S•••••••• L••left Dec 31, 2023, registered Dec 8, 2023 (-23 days) · RIA to affiliated broker-dealer or bank · moved with a team
- Q•••••• A•••• M••••••••• I••• to D••• I••••••••• L••left May 4, 2018, registered May 3, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- S•• to Q•••••• A•••• M••••••••• I•••left Apr 17, 2014, registered Apr 11, 2014 (-6 days) · Other
- Q•••••• A•••• M••••••••• I••• to S••left Sep 27, 2012, registered Sep 12, 2012 (-15 days) · Other
- J•••• A•••••• S••••••••• left D•••••••• A••••••• S•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-09-30)Sep 27, 2024 · Advisor changed firm · fact
- J•••• A•••••• S••••••••• left D••• I••••••••• L•• for D•••••••• A••••••• S•••••••• L•• (registered 2023-12-08)Dec 31, 2023 · 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