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.
C••• R••• D•••••
- M••••• B•••• F••••• W••••• L•• independent RIA currentsince Mar 31, 2020 · Allentown, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedJun 7, 2019 to Mar 26, 2020 · Allentown, Pa
- M••••• S•••••• wirehouseJul 23, 2015 to Jun 10, 2019 · South Jordan, Ut
- E•••••••• A•••••••• L•• national BDAug 20, 2014 to Jun 29, 2015 · Bala Cynwyd, Pa
- J••••• M••••••••• S•••• L•• to M••••• B•••• F••••• W••••• L••left Mar 26, 2020, registered Mar 31, 2020 (5 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Jun 10, 2019, registered Jun 7, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to M••••• S••••••left Jun 29, 2015, registered Jul 23, 2015 (24 days) · Affiliated broker-dealer or bank to wirehouse
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address