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••• R•••••• C••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Warrington, Pa
- P•••• S••••••••• L•• no RAUMOct 29, 2015 to Nov 14, 2024 · Warrington, Pa
- O•••• F•• I••• formerMay 16, 2014 to Sep 17, 2014 · Cherry Hill, Nj
- C• W••••• M••••••••• L•• independent RIAJun 12, 2012 to Jul 23, 2012 · Schaumburg, Il
- C••••• A•••••• N••••••• L•• formerSep 29, 2010 to May 17, 2012 · King Of Prussia, Pa
- P•• W••••• M••••••••• BD affiliatedOct 3, 2007 to Sep 20, 2010 · Souderton, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 31, 2007 to Sep 27, 2007 · Wayne, Pa
- M••••• S•••••• D• I••• unclassifiedNov 1, 2005 to Jul 19, 2006 · Philadelphia, Pa
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to P•••• S••••••••• L••left Sep 17, 2014, registered Oct 29, 2015 (407 days) · Other
- C• W••••• M••••••••• L•• to O•••• F•• I•••left Jul 23, 2012, registered May 16, 2014 (662 days) · Other
- C••••• A•••••• N••••••• L•• to C• W••••• M••••••••• L••left May 17, 2012, registered Jun 12, 2012 (26 days) · Other
- P•• W••••• M••••••••• to C••••• A•••••• N••••••• L••left Sep 20, 2010, registered Sep 29, 2010 (9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Sep 27, 2007, registered Oct 3, 2007 (6 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 19, 2006, registered Jan 31, 2007 (196 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