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.
S•••••••• E••••• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 12, 2023 · Allentown, Pa
- E••••• J•••• national BDOct 9, 2015 to May 15, 2023 · Allentown, Pa
- S•••••••• S••••••••• BD affiliatedJul 17, 2014 to Sep 29, 2015 · Shillington, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 8, 2011 to Jun 30, 2014 · Allentown, Pa
- W•••• F•••• A••••••• wirehouseJun 25, 2007 to Mar 8, 2011 · Allentown, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 2, 2004 to Jun 28, 2007 · Allentown, Pa
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left May 15, 2023, registered May 12, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to E••••• J••••left Sep 29, 2015, registered Oct 9, 2015 (10 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••••• S•••••••••left Jun 30, 2014, registered Jul 17, 2014 (17 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 8, 2011, registered Mar 8, 2011 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 28, 2007, registered Jun 25, 2007 (-3 days) · Wirehouse to wirehouse
- S•••••••• E••••• M••••• left E••••• J•••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-05-12)May 15, 2023 · Advisor changed firm · fact
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