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••• D•••••••
- C••••••• S••••••••• I••• BD affiliated currentsince Jan 26, 2016 · Wyomissing, Pa
- L•• F•••••••• L•• BD affiliatedMay 4, 2010 to Feb 3, 2016 · Limerick, Pa
- C••••• I••••••••• S••••••• L•• formerMar 17, 2009 to May 5, 2010 · Spring House, Pa
- W•••• F•••• A••••••• wirehouseJun 26, 2003 to Mar 17, 2009 · Royersford, Pa
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Feb 3, 2016, registered Jan 26, 2016 (-8 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left May 5, 2010, registered May 4, 2010 (-1 days) · Other
- W•••• F•••• A••••••• to C••••• I••••••••• S••••••• L••left Mar 17, 2009, registered Mar 17, 2009 (0 days) · Other
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address