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•••• J•• G••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Nov 2, 2016 · Canonsburg, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 31, 2009 to Nov 3, 2016 · Upper Saint Clair, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 19, 2009 · Pittsburgh, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 20, 2006 to Jun 1, 2009 · Pittsburgh, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 18, 2005 to Oct 25, 2006 · Pittsburgh, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Nov 3, 2016, registered Nov 2, 2016 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 19, 2009, registered Jul 31, 2009 (-19 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Oct 25, 2006, registered Oct 20, 2006 (-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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address