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••• M• W••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 21, 2022 · Jackson, Nj
- C••••••• S••••••••• I••• BD affiliatedJul 1, 2014 to Jan 10, 2022 · Jenkintown, Pa
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Jun 24, 2014 · Elkins Park, Pa
- L•• F•••••••• L•• BD affiliatedMar 3, 2011 to Sep 19, 2012 · Fort Mill, Sc
- C••••• I••••••••• S••••••• L•• formerOct 1, 2009 to Feb 11, 2011 · Wynnewood, Pa
- W•••• F•••• A••••••• wirehouseJan 22, 2004 to Sep 24, 2009 · Huntingdon Valley, Pa
- C••••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Jan 10, 2022, registered Jan 21, 2022 (11 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• S••••••••• to C••••••• S••••••••• I•••left Jun 24, 2014, registered Jul 1, 2014 (7 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Feb 11, 2011, registered Mar 3, 2011 (20 days) · Other
- W•••• F•••• A••••••• to C••••• I••••••••• S••••••• L••left Sep 24, 2009, registered Oct 1, 2009 (7 days) · Other
- J••• M• W•••• left C••••••• S••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-01-21)Jan 10, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address