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••• N••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 27, 2015 · Conshohocken, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 29, 2015 · Blue Bell, Pa
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Blue Bell, Pa
- M••••• S•••••• D• I••• unclassifiedFeb 20, 2007 to Apr 2, 2007 · Blue Bell, Pa
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Feb 22, 2007 · Plymouth Meeting, Pa
- J••••• H•••••••• W••• L••••• L•• formerMay 27, 2003 to Jan 1, 2004 · Conshohocken, Pa
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Oct 29, 2015, registered Oct 27, 2015 (-2 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to M••••• S•••••• D• I•••left Feb 22, 2007, registered Feb 20, 2007 (-2 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address