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••••• M•••••• K•••••
- T•• F•••••••• G•••• independent RIA currentsince Jun 24, 2021 · Savannah, Ga
- S•••• F•••••••• independent RIASep 5, 2018 to Nov 10, 2021 · Horsham, Pa
- E•••••••• A•••••••• L•• national BDNov 6, 2013 to Sep 13, 2018 · Philadelphia, Pa
- S•••• F•••••••• to T•• F•••••••• G••••left Nov 10, 2021, registered Jun 24, 2021 (-139 days) · RIA to RIA
- E•••••••• A•••••••• L•• to S•••• F••••••••left Sep 13, 2018, registered Sep 5, 2018 (-8 days) · Affiliated broker-dealer or bank to independent RIA
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