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•••• K••••
- O•••• I••••••••• I••• BD affiliated currentsince Oct 3, 2022 · Palmyra, Pa
- C••••• I••••••••• A••••••• L•• BD affiliatedDec 18, 2017 to Sep 30, 2022 · Palmyra, Pa
- P•••••• A•••••• G••••• L•• BD affiliatedMay 31, 2016 to Dec 18, 2017 · Palmyra, Pa
- C••••• • A••••••••• I••• independent RIAMay 21, 2015 to May 31, 2016 · Palmyra, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to May 22, 2015 · Palmyra, Pa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 4, 2008 to Jan 2, 2009 · Palmyra, Pa
- C••••• I••••••••• S••••••• L•• formerJan 22, 2008 to Jun 5, 2008 · Palmyra, Pa
- C••••• I••••••••• A••••••• L•• to O•••• I••••••••• I•••left Sep 30, 2022, registered Oct 3, 2022 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••• A•••••• G••••• L•• to C••••• I••••••••• A••••••• L••left Dec 18, 2017, registered Dec 18, 2017 (0 days) · Other
- C••••• • A••••••••• I••• to P•••••• A•••••• G••••• L••left May 31, 2016, registered May 31, 2016 (0 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••• • A••••••••• I•••left May 22, 2015, registered May 21, 2015 (-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 Jun 5, 2008, registered Jun 4, 2008 (-1 days) · Other
- J•••••• S•••• K•••• left C••••• I••••••••• A••••••• L•• for O•••• I••••••••• I••• (registered 2022-10-03)Sep 30, 2022 · a•••••• firm change · fact
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address