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.
R•••••• M••••••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 30, 2016 · Ft Washington, Pa
- C••• F•••••••• S•••••••• L••• formerApr 3, 2013 to Nov 30, 2016 · Trevose, Pa
- I••••• F•••••••• C••••••••• formerFeb 19, 2010 to Apr 8, 2013 · Wilmington, De
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Feb 8, 2010 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 4, 2008 to Jan 2, 2009 · West Chester, Pa
- C••••• I••••••••• S••••••• L•• formerAug 25, 2006 to Jun 4, 2008 · Lancaster, Pa
- P•• W••••• M••••••••• BD affiliatedApr 26, 2006 to Aug 15, 2006 · Wilmington, De
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Nov 30, 2016, registered Nov 30, 2016 (0 days) · Other · moved with a team
- I••••• F•••••••• C••••••••• to C••• F•••••••• S•••••••• L•••left Apr 8, 2013, registered Apr 3, 2013 (-5 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I••••• F•••••••• C•••••••••left Feb 8, 2010, registered Feb 19, 2010 (11 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 4, 2008, registered Jun 4, 2008 (0 days) · Other
- P•• W••••• M••••••••• to C••••• I••••••••• S••••••• L••left Aug 15, 2006, registered Aug 25, 2006 (10 days) · Other
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address