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.
D•••• G••••• R•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 24, 2020 · Bethlehem, Pa
- C••••••• S••••••••• I••• BD affiliatedApr 25, 2017 to Feb 25, 2020 · Chalfont, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 30, 2015 to Apr 28, 2017 · Allentown, Pa
- B••• A•••••••• L•• formerAug 24, 2006 to Aug 24, 2009 · Boston, Ma
- C••••••• S••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 25, 2020, registered Feb 24, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Apr 28, 2017, registered Apr 25, 2017 (-3 days) · Other
- B••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 24, 2009, registered Jan 30, 2015 (1985 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address