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.
K•••• A••• J••••
- M••••• S•••••• wirehouse currentsince Jan 12, 2016 · Philadelphia, Pa
- C••••• S••••• S••••••••• •••• L•• formerSep 16, 2009 to Feb 9, 2016 · West Conshohocken, Pa
- E•••••••• A•••••••• L•• national BDJul 29, 2002 to Sep 5, 2002 · Philadelphia, Pa
- P••••••• F•••••••• A••••••• unclassifiedAug 10, 2001 to Sep 4, 2002 · Philadelphia, Pa
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Feb 9, 2016, registered Jan 12, 2016 (-28 days) · Other
- E•••••••• A•••••••• L•• to C••••• S••••• S••••••••• •••• L••left Sep 5, 2002, registered Sep 16, 2009 (2568 days) · Other
- P••••••• F•••••••• A••••••• to E•••••••• A•••••••• L••left Sep 4, 2002, registered Jul 29, 2002 (-37 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address