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.
M••• C••••• W•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 4, 2020 · Fort Washington, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedApr 26, 2012 to Sep 9, 2020 · Radnor, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to May 2, 2012 · West Conshohocken, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 18, 2008 to Jun 1, 2009 · West Conshohocken, Pa
- J••••• M••••••••• S•••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 9, 2020, registered Sep 4, 2020 (-5 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to J••••• M••••••••• S•••• L••left May 2, 2012, registered Apr 26, 2012 (-6 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address