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.
I•••• B•••••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Apr 17, 2013 · Lancaster, Pa
- M•• F•••••••• S•••••••• I••• formerSep 18, 2007 to Apr 18, 2011 · Plymouth Meeting, Pa
- P•••••••• S••••••••• I••• BD affiliatedOct 28, 2002 to Jun 7, 2005 · King Of Prussia, Pa
- 1••• C•••••• M••••••••• C•••••• unclassifiedDec 10, 1996 to Oct 23, 2002 · King Of Prussia, Pa
- M•• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Apr 18, 2011, registered Apr 17, 2013 (730 days) · Other
- P•••••••• S••••••••• I••• to M•• F•••••••• S•••••••• I•••left Jun 7, 2005, registered Sep 18, 2007 (833 days) · Other
- 1••• C•••••• M••••••••• C•••••• to P•••••••• S••••••••• I•••left Oct 23, 2002, registered Oct 28, 2002 (5 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address