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.
R••••• F•••••• F••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 1, 2025 · Philadelphia, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedJan 16, 2009 to May 2, 2025 · Philadelphia, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 24, 2002 to Feb 5, 2009 · Mount Laurel, Nj
- J••••• M••••••••• S•••• L•• to R•••••• J•••• • A••••••••• I•••left May 2, 2025, registered May 1, 2025 (-1 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to J••••• M••••••••• S•••• L••left Feb 5, 2009, registered Jan 16, 2009 (-20 days) · Other
- R••••• F•••••• F•••••• left J••••• M••••••••• S•••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2025-05-01)May 2, 2025 · Advisor changed firm · 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address