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••••• A••••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 6, 2017 · York, Pa
- G••••• W••••• M••••••••• I••• BD affiliatedJul 1, 2008 to Sep 8, 2017 · York, Pa
- S•••••••• N••• F•••••••• S••••••••• unclassifiedAug 17, 2005 to Sep 25, 2008 · York, Pa
- 1•• G••••• A••••••• I•• formerFeb 22, 2002 to Jul 1, 2008 · York, Pa
- G••••• W••••• M••••••••• I••• to C••••••••• F•••••••• N••••••left Sep 8, 2017, registered Sep 6, 2017 (-2 days) · Other · moved with a team
- S•••••••• N••• F•••••••• S••••••••• to G••••• W••••• M••••••••• I•••left Sep 25, 2008, registered Jul 1, 2008 (-86 days) · Other
- 1•• G••••• A••••••• I•• to S•••••••• N••• F•••••••• S•••••••••left Jul 1, 2008, registered Aug 17, 2005 (-1049 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address