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••••• C••• A•••••••
- N•••• C•••••• independent RIA currentsince Jan 27, 2021 · Salt Lake City, Ut
- N•••• C•••••• independent RIAAug 19, 2020 to Dec 31, 2020 · Clarks Summit, Pa
- P••• A••••• S••••••••• L•• BD affiliatedMay 3, 2011 to Feb 7, 2020 · King Of Prussia, Pa
- M•• F•••••••• S•••••••• I••• formerSep 5, 2007 to Feb 17, 2010 · Moosic, Pa
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedOct 20, 2004 to May 4, 2005 · Overland P•••, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDMay 9, 2003 to Sep 25, 2004 · Overland P•••, Ks
- P••• A••••• S••••••••• L•• to N•••• C••••••left Feb 7, 2020, registered Aug 19, 2020 (194 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Feb 17, 2010, registered May 3, 2011 (440 days) · Other
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left May 4, 2005, registered Sep 5, 2007 (854 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Sep 25, 2004, registered Oct 20, 2004 (25 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address