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.
C•••••• J••••• I••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 16, 2023 · Langhorne, Pa
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to Jul 20, 2021 · Rockville, Md
- H• B•••• I••• formerOct 20, 2020 to Apr 1, 2021 · Rockville, Md
- H•••••• T••••••• • K•••• L•• independent RIAMay 30, 2014 to Oct 16, 2020 · Conshohocken, Pa
- P••• A••••• S••••••••• L•• BD affiliatedOct 30, 2009 to May 6, 2014 · New York, Ny
- B••••••• C•••••• I••• formerMay 12, 2009 to Oct 7, 2009 · New York, Ny
- L••••• B••••••• I••• unclassifiedNov 9, 2005 to Oct 15, 2008 · New York, Ny
- G•••• P•••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 20, 2021, registered Mar 16, 2023 (604 days) · Affiliated broker-dealer or bank to another
- H• B•••• I••• to G•••• P•••• A•••••••• L••left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
- H•••••• T••••••• • K•••• L•• to H• B•••• I•••left Oct 16, 2020, registered Oct 20, 2020 (4 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left May 6, 2014, registered May 30, 2014 (24 days) · Other
- B••••••• C•••••• I••• to P••• A••••• S••••••••• L••left Oct 7, 2009, registered Oct 30, 2009 (23 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered May 12, 2009 (209 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address