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•••••• J••••• P•••••••
- I••••• W••••• M••••••••• L•• state registered currentsince Dec 11, 2012 · Erie, Pa
- E•••••••• A•••••••• L•• national BDSep 10, 2009 to Dec 7, 2012 · Erie, Pa
- M•• A••••••• F•••••••• M••••••••• I••• formerMay 4, 2004 to Mar 22, 2007 · Erie, Pa
- F•• A•••••••• I••• asset managerMay 14, 2002 to May 4, 2004 · Sacramento, Ca
- E•••••••• A•••••••• L•• to I••••• W••••• M••••••••• L••left Dec 7, 2012, registered Dec 11, 2012 (4 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M•• A••••••• F•••••••• M••••••••• I••• to E•••••••• A•••••••• L••left Mar 22, 2007, registered Sep 10, 2009 (903 days) · Other
- F•• A•••••••• I••• to M•• A••••••• F•••••••• M••••••••• I•••left May 4, 2004, registered May 4, 2004 (0 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
- STATE REGISTEREDderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address