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••• L••• B•••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Reading, Pa
- S•••••••• F••••••••• I••• formerMay 1, 2023 to Sep 1, 2023 · Reading, Pa
- E•••• S••••••••• L•• BD affiliatedAug 24, 2021 to May 3, 2023 · Wyomissing, Pa
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- E•••• S••••••••• L•• to S•••••••• F••••••••• I•••left May 3, 2023, registered May 1, 2023 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••• L••• B••••••• left E•••• S••••••••• L•• for S•••••••• F••••••••• I••• (registered 2023-05-01)May 3, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address