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.
J•••• R••• R••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 6, 2018 · Mansfield, Pa
- O•••• I••••••••• I••• BD affiliatedJan 28, 2016 to Mar 1, 2018 · Dubois, Pa
- E•••• N••••••• S••••••••• I••• formerJun 7, 2010 to Oct 16, 2015 · St. Mary'S, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 10, 2009 to Jun 2, 2010 · Clearfield, Pa
- E•••••••• A•••••••• L•• national BDApr 16, 2007 to Jun 2, 2009 · Erie, Pa
- O•••• I••••••••• I••• to L•• F•••••••• L••left Mar 1, 2018, registered Mar 6, 2018 (5 days) · Other
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Oct 16, 2015, registered Jan 28, 2016 (104 days) · Other · moved with a team
- U•••• F•••••••• S••••••• G••••• I••• to E•••• N••••••• S••••••••• I•••left Jun 2, 2010, registered Jun 7, 2010 (5 days) · Other
- E•••••••• A•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Jun 2, 2009, registered Jul 10, 2009 (38 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address