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.
K•••• P•••••• J••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jun 22, 2021 · Breinigsville, Pa
- A••••••• A••••••• S••••••• formerFeb 8, 2018 to May 28, 2021 · Lincoln, Ne
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Feb 5, 2018 · Allentown, Pa
- M•• F•••••••• S•••••••• I••• formerAug 10, 2015 to Mar 25, 2017 · Allentown, Pa
- P•••• S••••••••• L•• no RAUMOct 19, 2009 to Jul 11, 2014 · Warrington, Pa
- A••••••• A••••••• S••••••• to P••• A••••• S••••••••• L••left May 28, 2021, registered Jun 22, 2021 (25 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to A••••••• A••••••• S•••••••left Feb 5, 2018, registered Feb 8, 2018 (3 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 11, 2014, registered Aug 10, 2015 (395 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address