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••• E••••••• S•••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Feb 7, 2018 · Horsham, Pa
- L•• F•••••••• L•• BD affiliated currentsince Sep 11, 2012 · Horsham, Pa
- C••••• A•••••• N••••••• L•• formerJun 13, 2008 to Sep 18, 2012 · King Of Prussia, Pa
- P•••••••• S••••••••• I••• BD affiliatedOct 24, 2002 to Jun 10, 2008 · King Of Prussia, Pa
- 1••• C•••••• M••••••••• C•••••• unclassifiedMay 24, 2002 to Oct 24, 2002 · King Of Prussia, Pa
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Sep 18, 2012, registered Sep 11, 2012 (-7 days) · Other
- P•••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Jun 10, 2008, registered Jun 13, 2008 (3 days) · Other
- 1••• C•••••• M••••••••• C•••••• to P•••••••• S••••••••• I•••left Oct 24, 2002, registered Oct 24, 2002 (0 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address