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•••••• J••• F•••••••••
- W•••••••• W••••• M••••••••• I••• independent RIA currentsince Nov 19, 2018 · Erie, Pa
- S• A•••••••• L•• independent RIAFeb 2, 2012 to Nov 27, 2018 · Erie, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 17, 2008 to Nov 18, 2011 · Erie, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDJan 3, 1995 to Dec 22, 2008 · Erie, Pa
- S• A•••••••• L•• to W•••••••• W••••• M••••••••• I•••left Nov 27, 2018, registered Nov 19, 2018 (-8 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S• A•••••••• L••left Nov 18, 2011, registered Feb 2, 2012 (76 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 22, 2008, registered Dec 17, 2008 (-5 days) · Affiliated broker-dealer or bank 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address