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.
E••• J•••• R••••••
- C•••••• S••••• • C••• I••• national BD currentsince Nov 1, 2021 · Philadelphia, Pa
- A•• I••••••••• S•••••••• I••• asset managerJun 22, 2020 to Nov 6, 2020 · Dresher, Pa
- A•• I••••••••• S•••••••• I••• asset managerApr 28, 2008 to Dec 10, 2019 · Shelton, Ct
- L•••••• F•••••••• D••••••••• I••• unclassifiedSep 4, 2002 to Apr 21, 2008 · Philadelphia, Pa
- A•• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Nov 6, 2020, registered Nov 1, 2021 (360 days) · Other
- L•••••• F•••••••• D••••••••• I••• to A•• I••••••••• S•••••••• I•••left Apr 21, 2008, registered Apr 28, 2008 (7 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address