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.
E••••• J•••• L•••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Oct 21, 2021 · Blue Bell, Pa
- A••••••• P••••••••• A•••••••• I•• formerSep 13, 2021 to Oct 21, 2021 · Holbrook, Ny
- C•••••• G•••• • C• I•• formerNov 17, 2008 to Sep 7, 2021 · Blue Bell, Pa
- A••••••• P••••••••• A•••••••• I•• to W••••••••• A••••••• P••••••• L••left Oct 21, 2021, registered Oct 21, 2021 (0 days) · RIA to RIA · moved with a team
- C•••••• G•••• • C• I•• to A••••••• P••••••••• A•••••••• I••left Sep 7, 2021, registered Sep 13, 2021 (6 days) · Affiliated broker-dealer or bank to independent RIA
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