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.
D••••• J•••• F•••••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 15, 2022 · Whitehall, Pa
- A••••••• P••••••••• A•••••••• I•• formerJan 29, 2018 to Nov 15, 2022 · Holbrook, Ny
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAApr 7, 2017 to Jan 30, 2018 · Bethlehem, Pa
- A••••••• P••••••••• A•••••••• I•• to C••••••••• F•••••••• N••••••left Nov 15, 2022, registered Nov 15, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M••••• O• O•••• I••••••• S•••••••• I••• to A••••••• P••••••••• A•••••••• I••left Jan 30, 2018, registered Jan 29, 2018 (-1 days) · Other
- D••••• J•••• F••••••••• left A••••••• P••••••••• A•••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2022-11-15)Nov 15, 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address