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•••• J•••• S••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Nov 9, 2023 · Quakertown, Pa
- L•• F•••••••• L•• BD affiliatedJul 30, 2018 to Dec 1, 2023 · Quakertown, Pa
- I••••••••• P••••••••• I••• formerDec 3, 2012 to Aug 2, 2018 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedFeb 21, 2012 to Dec 12, 2012 · San Diego, Ca
- S••••••• I••••••••• I••• formerJul 13, 2010 to Feb 22, 2012 · Allentown, Pa
- L•• F•••••••• L•• to B• R•••• W••••• A•••••••• I•••left Dec 1, 2023, registered Nov 9, 2023 (-22 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••••• I••• to L•• F•••••••• L••left Aug 2, 2018, registered Jul 30, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- L•• F•••••••• L•• to I••••••••• P••••••••• I•••left Dec 12, 2012, registered Dec 3, 2012 (-9 days) · Other
- S••••••• I••••••••• I••• to L•• F•••••••• L••left Feb 22, 2012, registered Feb 21, 2012 (-1 days) · Other
- B•••• J•••• S•••• left L•• F•••••••• L•• for B• R•••• W••••• A•••••••• I••• (registered 2023-11-09)Dec 1, 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
- 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