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.
D•••••• A•••• M•• C••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 5, 2009 · West Grove, Pa
- W•••• F•••• A••••••• wirehouseOct 19, 2006 to Mar 10, 2009 · Oxford, Pa
- P•• W••••• M••••••••• BD affiliatedSep 7, 2005 to Oct 23, 2006 · St. David'S, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDMay 16, 2005 to Sep 2, 2005 · Hershey , Pa
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 10, 2009, registered Mar 5, 2009 (-5 days) · Other
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Oct 23, 2006, registered Oct 19, 2006 (-4 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Sep 2, 2005, registered Sep 7, 2005 (5 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address