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.
M•••••• W••••• H•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 6, 2016 · Lancaster, Pa
- D••••••• B••• S••••••••• I••• no RAUMNov 30, 2007 to Sep 6, 2016 · Philadelphia, Pa
- G••••• W••••• M••••••••• I••• BD affiliatedOct 17, 2006 to Jun 18, 2007 · Lancaster, Pa
- D••••••• B••• S••••••••• I••• no RAUMJul 11, 2003 to Aug 30, 2006 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 21, 2003 to Jul 28, 2003 · Atlanta, Ga
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- G••••• W••••• M••••••••• I••• to D••••••• B••• S••••••••• I•••left Jun 18, 2007, registered Nov 30, 2007 (165 days) · Other
- D••••••• B••• S••••••••• I••• to G••••• W••••• M••••••••• I•••left Aug 30, 2006, registered Oct 17, 2006 (48 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• B••• S••••••••• I•••left Jul 28, 2003, registered Jul 11, 2003 (-17 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address