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••••• S•••• D•••••••••
- N•••••• F•••••••• G••••• I••• independent RIA currentsince Sep 6, 2019 · Cedar Rapids, Ia
- W•••• F•••• A••••••• wirehouseMay 12, 2011 to Sep 11, 2019 · Wayne, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedMar 30, 2006 to Jun 10, 2011 · St. Davids, Pa
- W•••• F•••• A••••••• to N•••••• F•••••••• G••••• I•••left Sep 11, 2019, registered Sep 6, 2019 (-5 days) · Wirehouse to independent RIA · moved with a team
- J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••left Jun 10, 2011, registered May 12, 2011 (-29 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address