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.
R•••••• C•••••• C••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Dec 16, 2015 · Princeton, Nj
- S•••••••• A••••••• L•• national BDOct 20, 2011 to Dec 14, 2015 · Philadelphia, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedApr 4, 2007 to Jan 14, 2009 · Bala Cynwyd, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedNov 24, 2004 to Dec 6, 2006 · Philadelphia, Pa
- P••••• I••••••••• M••••••••• L•• asset managerNov 22, 2001 to Nov 9, 2004 · Boston, Ma
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Dec 14, 2015, registered Dec 16, 2015 (2 days) · Other
- J••••• M••••••••• S•••• L•• to S•••••••• A••••••• L••left Jan 14, 2009, registered Oct 20, 2011 (1009 days) · Other
- P••••• I••••••••• M••••••••• L•• to J••••• M••••••••• S•••• L••left Nov 9, 2004, registered Nov 24, 2004 (15 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address