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••••••• B••••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 16, 2024 · Hanover, Pa
- A••• H••• F•••••••• unclassifiedJul 31, 2023 to Sep 13, 2024 · York, Pa
- C•••••• G•••• • C• I•• formerAug 9, 2022 to Jul 31, 2023 · Syracuse, Ny
- A••• H••• F•••••••• to C••••••••• F•••••••• N••••••left Sep 13, 2024, registered Sep 16, 2024 (3 days) · Other
- C•••••• G•••• • C• I•• to A••• H••• F••••••••left Jul 31, 2023, registered Jul 31, 2023 (0 days) · Other
- J••••• M••••••• B•••••••• left A••• H••• F•••••••• for C••••••••• F•••••••• N•••••• (registered 2024-09-16)Sep 13, 2024 · Advisor changed firm · fact
- J••••• M••••••• B•••••••• left C•••••• G•••• • C• I•• for A••• H••• F•••••••• (registered 2023-07-31)Jul 31, 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address