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.
B••••••• C•••••• G••••••
- M••••• S•••••• wirehouse currentsince Feb 10, 2012 · Blue Bell, Pa
- S•••••• N••••••• • C••••••• I••••••••• national BDJun 5, 2007 to Feb 13, 2012 · Conshohocken, Pa
- R••• B••• • C•• unclassifiedJun 13, 2006 to Jun 5, 2007 · Conshohocken, Pa
- G••••••••• I••••••••• asset managerSep 7, 2004 to May 30, 2006 · Lisle, Il
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left Feb 13, 2012, registered Feb 10, 2012 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Jun 5, 2007, registered Jun 5, 2007 (0 days) · Other
- G••••••••• I••••••••• to R••• B••• • C••left May 30, 2006, registered Jun 13, 2006 (14 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address