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••• D•••• O•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 2, 2020 · Plymouth Meeting, Pa
- P•••• S••••••••• L•• no RAUMFeb 6, 2020 to Aug 25, 2020 · Camp Hill, Pa
- R••••• P••••••• F•••••• unclassifiedMar 23, 2017 to Dec 17, 2019 · Bryn Mawr, Pa
- M• F•••••••• P•••• I••• unclassifiedMay 30, 2013 to Dec 31, 2013 · Richmond, Va
- P•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 25, 2020, registered Dec 2, 2020 (99 days) · Affiliated broker-dealer or bank to another
- R••••• P••••••• F•••••• to P•••• S••••••••• L••left Dec 17, 2019, registered Feb 6, 2020 (51 days) · Other
- M• F•••••••• P•••• I••• to R••••• P••••••• F••••••left Dec 31, 2013, registered Mar 23, 2017 (1178 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address