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.
E••• D•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 4, 2026 · Newark, De
- E•••••••• P•• independent RIANov 1, 2024 to May 26, 2026 · Berwyn, Pa
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 2, 2024 to Sep 12, 2024 · Newtown Square, Pa
- E•••••••• P•• to J••• M••••• S••••••••• L••left May 26, 2026, registered Jun 4, 2026 (9 days) · RIA to wirehouse
- M•• I•••••••• S•••••••• L•• to E•••••••• P••left Sep 12, 2024, registered Nov 1, 2024 (50 days) · Affiliated broker-dealer or bank to independent RIA
- E••• D••••• left E•••••••• P•• for J••• M••••• S••••••••• L•• (registered 2026-06-04)May 26, 2026 · Advisor changed firm · fact
- E••• D••••• left M•• I•••••••• S•••••••• L•• for E•••••••• P•• (registered 2024-11-01)Sep 12, 2024 · 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address