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••••• A•••••• P•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 4, 2020 · Reading, Pa
- N••• F•••••••• G••••• I••• formerMay 21, 2007 to Sep 8, 2020 · Exton, Pa
- M•••• C••••••• A••••••• S•••••• BD affiliatedMar 10, 2004 to May 21, 2007 · Shillington, Pa
- N••• F•••••••• G••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 8, 2020, registered Sep 4, 2020 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••• C••••••• A••••••• S•••••• to N••• F•••••••• G••••• I•••left May 21, 2007, registered May 21, 2007 (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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address