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.
T••••• F•••••••• S•••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 2, 2020 · King Of Prussia, Pa
- B••• S••••••••• L•• formerMay 9, 2017 to Feb 17, 2021 · King Of Prussia, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedMay 14, 2014 to May 10, 2017 · Bryn Mawr, Pa
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Sep 2, 2020 (-168 days) · corporate re-registration, not a move
- J••••• M••••••••• S•••• L•• to B••• S••••••••• L••left May 10, 2017, registered May 9, 2017 (-1 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address