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•••• K•••• R•••••••••
- E•••••••• A•••••••• L•• national BD currentsince Jul 22, 2016 · Conshohocken, Pa
- M•• F•••••••• S•••••••• I••• formerJul 6, 2016 to Jul 25, 2016 · Philadelphia, Pa
- M•• F•••••••• S•••••••• I••• formerFeb 4, 2011 to Jul 1, 2016 · Bryn Mawr, Pa
- E•••••••• A•••••••• L•• national BDApr 18, 2005 to Feb 10, 2011 · Philadelphia, Pa
- F•••••••• F•••••••• A••••••• state registeredFeb 4, 2005 to Dec 31, 2010 · Philadelphia, Pa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jan 10, 2005 · Philadelphia, Pa
- Q•••• • R•••••• I••• unclassifiedFeb 2, 2004 to Oct 20, 2004 · Philadelphia, Pa
- E•••••••• A•••••••• L•• national BDJul 5, 2002 to Feb 2, 2004 · Philadelphia, Pa
- P••••••• F•••••••• A••••••• unclassifiedAug 9, 2001 to Feb 4, 2004 · Philadelphia, Pa
- M•• F•••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Jul 25, 2016, registered Jul 22, 2016 (-3 days) · Other · moved with a team
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Feb 10, 2011, registered Feb 4, 2011 (-6 days) · Other
- F•••••••• F•••••••• A••••••• to E•••••••• A•••••••• L••left Dec 31, 2010, registered Apr 18, 2005 (-2083 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to F•••••••• F•••••••• A•••••••left Jan 10, 2005, registered Feb 4, 2005 (25 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- P••••••• F•••••••• A••••••• to E•••••••• A•••••••• L••left Feb 4, 2004, registered Jul 5, 2002 (-579 days) · Other
- E•••••••• A•••••••• L•• to Q•••• • R•••••• I•••left Feb 2, 2004, registered Feb 2, 2004 (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
- 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