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••• J•••••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 28, 2014 · Allentown, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jul 29, 2014 · Allentown, Pa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 14, 2008 to Jan 2, 2009 · Allentown, Pa
- C••••• I••••••••• S••••••• L•• formerNov 16, 2007 to May 22, 2008 · Allentown, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Jul 29, 2014, registered Jul 28, 2014 (-1 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left May 22, 2008, registered Jul 14, 2008 (53 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address