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.
M•••••• D•••• J••••••
- E••••• J•••• national BD currentsince Jan 18, 2022 · Lewisburg, Pa
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 11, 2014 to Dec 21, 2021 · Williamsport, Pa
- L•• F•••••••• L•• BD affiliatedSep 18, 2012 to Feb 12, 2014 · Hughesville, Pa
- E••••• J•••• national BDMay 8, 2008 to Sep 18, 2012 · Hughesville, Pa
- C••••• I••••••••• A••••••• L•• to E••••• J••••left Dec 21, 2021, registered Jan 18, 2022 (28 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Feb 12, 2014, registered Feb 11, 2014 (-1 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Sep 18, 2012, registered Sep 18, 2012 (0 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