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••••• D•••• G••••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2022 · Chester, Pa
- O•••• F•• I••• formerSep 7, 2012 to Dec 1, 2022 · Wilmington, De
- F•••••••• H••••• I••• unclassifiedApr 2, 2003 to Dec 31, 2013 · Wilmington, De
- I••••••••• A••••••• G•••• C••• formerAug 25, 2000 to Dec 22, 2016 · Wilmington, De
- O•••• F•• I••• to L•• F•••••••• L••left Dec 1, 2022, registered Nov 29, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• A••••••• G•••• C••• to F•••••••• H••••• I•••left Dec 22, 2016, registered Apr 2, 2003 (-5013 days) · Other
- F•••••••• H••••• I••• to O•••• F•• I•••left Dec 31, 2013, registered Sep 7, 2012 (-480 days) · Other
- R••••• D•••• G•••••••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2022-11-29)Dec 1, 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