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.
K••••• J•• S•••••••
- R••••• I••••••••• A•••••••• I•• BD affiliated currentsince Aug 2, 2011 · Wilmington, De
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMay 6, 2008 to Dec 16, 2008 · Philadelphia, Pa
- P••••••• A•••••••• L•• unclassifiedMay 17, 2005 to Dec 31, 2006 · Philadelphia, Pa
- O• I••••••••• M••••••••• C• BD affiliatedJan 6, 2005 to May 3, 2006 · Philadelphia, Pa
- O• I••••••••• M••••••••• C• BD affiliatedFeb 12, 2004 to Dec 31, 2004 · Philadelphia, Pa
- U•••• F•••••••• S••••••• G••••• I••• to R••••• I••••••••• A•••••••• I••left Dec 16, 2008, registered Aug 2, 2011 (959 days) · Other
- P••••••• A•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Dec 31, 2006, registered May 6, 2008 (492 days) · Other
- O• I••••••••• M••••••••• C• to P••••••• A•••••••• L••left May 3, 2006, registered May 17, 2005 (-351 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address