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•••• E••••• E••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 29, 2011 · Altoona, Pa
- S•••••• M••••• L•• independent RIANov 5, 2008 to Nov 23, 2011 · Richmond, Va
- Q•• F•••••••• L•• unclassifiedJun 30, 2006 to Nov 3, 2008 · Altoon, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 9, 2004 to Jul 20, 2005 · State College, Pa
- S•••••• M••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 23, 2011, registered Nov 29, 2011 (6 days) · Other
- Q•• F•••••••• L•• to S•••••• M••••• L••left Nov 3, 2008, registered Nov 5, 2008 (2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to Q•• F•••••••• L••left Jul 20, 2005, registered Jun 30, 2006 (345 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