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.
R••••• J• D•••••
- O••••••••• • C•• I••• BD affiliated currentsince May 28, 2021 · Jenkintown, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 9, 2007 to Jun 1, 2021 · Jenkintown, Pa
- U•• F•••••••• S••••••• I••• wirehouseMay 23, 2002 to Nov 21, 2007 · Princeton, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Jun 1, 2021, registered May 28, 2021 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 21, 2007, registered Nov 9, 2007 (-12 days) · Wirehouse to wirehouse
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address