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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 30, 2009 · Allentown, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 1, 2009 · Philadelphia, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 28, 2007 to Jun 1, 2009 · Philadelphia, Pa
- W•••• F•••• A••••••• wirehouseNov 6, 2002 to Sep 27, 2007 · Hellertown, Pa
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 1, 2009, registered Jun 30, 2009 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Sep 27, 2007, registered Aug 28, 2007 (-30 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