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••• S••••••
- E•••• F•••••••• G••••• L•• independent RIA currentsince Sep 19, 2022 · King Of Prussia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 20, 2019 to Sep 6, 2022 · Stamford, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 4, 2019 to Oct 1, 2019 · Elmsford, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••• F•••••••• G••••• L••left Sep 6, 2022, registered Sep 19, 2022 (13 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 1, 2019, registered Sep 20, 2019 (-11 days) · Affiliated broker-dealer or bank to wirehouse
- J••• S•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E•••• F•••••••• G••••• L•• (registered 2022-09-19)Sep 6, 2022 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address