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••••••• C••••• C••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 1, 2020 · Downingtown, Pa
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to May 1, 2020 · Exton, Pa
- C••••• I••••••••• S••••••• L•• formerOct 4, 2011 to Jan 21, 2014 · Exton, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 2, 2002 to Oct 7, 2011 · Exton, Pa
- C••••• I••••••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 1, 2020, registered May 1, 2020 (0 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to C••••• I••••••••• S••••••• L••left Oct 7, 2011, registered Oct 4, 2011 (-3 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