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.
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J•••• G••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Feasterville, Pa
- A••••••• P••••••••• A•••••••• I•• formerSep 30, 2022 to Oct 11, 2024 · Holbrook, Ny
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to Oct 3, 2022 · Rockville, Md
- H• B•••• I••• formerMay 13, 2016 to Apr 1, 2021 · Rockville, Md
- C•••••••• F•••••••• G•••• A••••••• formerOct 1, 2009 to Jun 3, 2016 · Feasterville, Pa
- E•••••••• A•••••••• L•• national BDOct 17, 2006 to Oct 6, 2009 · Feasterville, Pa
- P•••• S••••••••• L•• no RAUMMay 18, 2005 to Oct 18, 2006 · Feasterville, Pa
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- G•••• P•••• A•••••••• L•• to A••••••• P••••••••• A•••••••• I••left Oct 3, 2022, registered Sep 30, 2022 (-3 days) · Affiliated broker-dealer or bank to another
- H• B•••• I••• to G•••• P•••• A•••••••• L••left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
- C•••••••• F•••••••• G•••• A••••••• to H• B•••• I•••left Jun 3, 2016, registered May 13, 2016 (-21 days) · Other
- E•••••••• A•••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Oct 6, 2009, registered Oct 1, 2009 (-5 days) · Other
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Oct 18, 2006, registered Oct 17, 2006 (-1 days) · Other
- J•••• G•••• left G•••• P•••• A•••••••• L•• for A••••••• P••••••••• A•••••••• I•• (registered 2022-09-30)Oct 3, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address