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•••• M•••• B•••••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Nov 24, 2021 · Atlanta, Ga
- S•• B••• A•••••••• I••• independent RIAFeb 11, 2019 to May 15, 2020 · East Stroudsburg, Pa
- I••••••• C•••••• I•••••••• formerJan 9, 2019 to Dec 31, 2019 · East Stroudsburg, Pa
- S•• B••• A•••••••• I••• independent RIANov 2, 2018 to Dec 31, 2018 · East Stroudsburg, Pa
- I••••••• C•••••• I•••••••• formerMar 30, 2018 to Dec 31, 2018 · East Stroudsburg, Pa
- S• A•••••••• L•• independent RIAApr 16, 2012 to Aug 11, 2020 · Mt. Pocono, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 9, 2006 to Nov 14, 2006 · Jacksonville, Fl
- S• A•••••••• L•• to I••••••• C•••••• I••••••••left Aug 11, 2020, registered Mar 30, 2018 (-865 days) · RIA to RIA
- S•• B••• A•••••••• I••• to T••••• A••••••• S•••••••• I•••left May 15, 2020, registered Nov 24, 2021 (558 days) · RIA to affiliated broker-dealer or bank
- I••••••• C•••••• I•••••••• to S•• B••• A•••••••• I•••left Dec 31, 2019, registered Feb 11, 2019 (-323 days) · RIA to RIA
- I••••••• C•••••• I•••••••• to S•• B••• A•••••••• I•••left Dec 31, 2018, registered Nov 2, 2018 (-59 days) · RIA to RIA
- S•• B••• A•••••••• I••• to I••••••• C•••••• I••••••••left Dec 31, 2018, registered Jan 9, 2019 (9 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S• A•••••••• L••left Nov 14, 2006, registered Apr 16, 2012 (1980 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address