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.
R•••• B•••• S•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 6, 2016 · Conshohocken, Pa
- D••••••• B••• S••••••••• I••• no RAUMApr 16, 2014 to Sep 6, 2016 · Philadelphia, Pa
- U•• F•••••••• S••••••• I••• wirehouseMay 27, 2009 to Apr 22, 2014 · Philadelphia, Pa
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to D••••••• B••• S••••••••• I•••left Apr 22, 2014, registered Apr 16, 2014 (-6 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address