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••••• J•••••• M•••••
- R•••••• M••••• A••••••••• I•• independent RIA currentsince Apr 17, 2020 · Philadelphia, Pa
- C•••••• S••••• • C••• I••• national BDMar 5, 2003 to Dec 12, 2018 · Wayne, Pa
- P••••••••• E••••• G••••• L•• unclassifiedJun 5, 2002 to Jun 13, 2002 · Bala Cynwyd, Pa
- C•••••• S••••• • C••• I••• to R•••••• M••••• A••••••••• I••left Dec 12, 2018, registered Apr 17, 2020 (492 days) · Affiliated broker-dealer or bank to independent RIA
- P••••••••• E••••• G••••• L•• to C•••••• S••••• • C••• I•••left Jun 13, 2002, registered Mar 5, 2003 (265 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address