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.
P•••••• R••••••• H•••
- S•••••••• F•••••••• G••••• I••• independent RIA currentsince Jul 1, 2019 · Yardley, Pa
- M••••• S•••••• wirehouseAug 7, 2009 to Jul 5, 2019 · Yardley, Pa
- U•• F•••••••• S••••••• I••• wirehouseMay 5, 2008 to May 13, 2009 · Newtown, Pa
- M••••• S•••••• to S•••••••• F•••••••• G••••• I•••left Jul 5, 2019, registered Jul 1, 2019 (-4 days) · Wirehouse to independent RIA
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 13, 2009, registered Aug 7, 2009 (86 days) · Wirehouse 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address