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••• J•••• S•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Newtown Square, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 25, 2019 to Mar 31, 2025 · King Of Prussia, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 20, 2017 to Jan 7, 2019 · Philadelphia, Pa
- T• A••••••••• I••• formerJul 20, 2017 to Jan 7, 2019 · Philadelphia, Pa
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to Jun 28, 2016 · Radnor, Pa
- N•• A•••••• S•••••••• L•• formerJul 26, 2007 to Jun 28, 2016 · Radnor, Pa
- C•••••• M••••••••• C••••••••• unclassifiedOct 30, 2002 to Dec 9, 2008 · Newtown Square, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 7, 2019, registered Jan 25, 2019 (18 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 7, 2019, registered Jul 20, 2017 (-536 days) · channel change inside one enterprise, not a move
- K••••• A••••••• S•••••••• L•• to T• A••••••••• I•••left Jun 28, 2016, registered Jul 20, 2017 (387 days) · Other
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Jun 28, 2016, registered Apr 19, 2016 (-70 days) · Other
- C•••••• M••••••••• C••••••••• to N•• A•••••• S•••••••• L••left Dec 9, 2008, registered Jul 26, 2007 (-502 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address