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.
M•••••• S••••• M••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Mar 27, 2015 · Warrington, Pa
- W•••• F•••• A••••••• wirehouseNov 23, 2005 to Mar 30, 2015 · Jenkintown, Pa
- M••••• S•••••• D• I••• unclassifiedDec 3, 2003 to Nov 28, 2005 · Jenkintown, Pa
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Mar 30, 2015, registered Mar 27, 2015 (-3 days) · Other
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Nov 28, 2005, registered Nov 23, 2005 (-5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address