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•• F••••
- R••••• I••••••••• A•••••••• I•• BD affiliated currentsince Jun 18, 2018 · York, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 10, 2009 to Jun 11, 2018 · Lancaster, Pa
- W•••• F•••• A••••••• wirehouseJul 14, 2003 to Mar 3, 2009 · Lancaster, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 7, 2003 to Jul 3, 2003 · York, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R••••• I••••••••• A•••••••• I••left Jun 11, 2018, registered Jun 18, 2018 (7 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 3, 2009, registered Mar 10, 2009 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jul 3, 2003, registered Jul 14, 2003 (11 days) · Wirehouse to wirehouse
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address