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.
J••• S•••• S•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Newtown Square, Pa
- M•• F•••••••• S•••••••• I••• formerJul 16, 2013 to Mar 25, 2017 · Plymouth Meeting, Pa
- I••••••••• A••••••• A•••••••• L•• unclassifiedSep 7, 2010 to Feb 14, 2012 · Malvern, Pa
- C•• A•••••••• L•• asset managerOct 4, 2005 to Feb 24, 2009 · Princeton, Nj
- B•• M••••• A•••••••• I••• bank affiliatedJan 2, 2004 to Mar 22, 2004 · Malvern, Pa
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Feb 14, 2012, registered Jul 16, 2013 (518 days) · Other
- C•• A•••••••• L•• to I••••••••• A••••••• A•••••••• L••left Feb 24, 2009, registered Sep 7, 2010 (560 days) · Other
- B•• M••••• A•••••••• I••• to C•• A•••••••• L••left Mar 22, 2004, registered Oct 4, 2005 (561 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address