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.
M•••••• W•••••• C•••••
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Apr 26, 2023 · Brooklyn, Oh
- C••••••• S••••••••• I••• BD affiliatedJul 17, 2020 to May 1, 2023 · Havertown, Pa
- P•••••• A•••••• G••••• L•• BD affiliatedJun 3, 2013 to May 1, 2020 · Bensalem, Pa
- P•• W••••• M••••••••• BD affiliatedJun 10, 2005 to Jun 3, 2013 · Philadelphia, Pa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to May 3, 2005 · Wynnewood, Pa
- Q•••• • R•••••• I••• unclassifiedFeb 28, 2003 to Oct 20, 2004 · Wynnewood, Pa
- C••••••• S••••••••• I••• to K•• I••••••••• S••••••• L••left May 1, 2023, registered Apr 26, 2023 (-5 days) · Affiliated broker-dealer or bank to another
- P•••••• A•••••• G••••• L•• to C••••••• S••••••••• I•••left May 1, 2020, registered Jul 17, 2020 (77 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to P•••••• A•••••• G••••• L••left Jun 3, 2013, registered Jun 3, 2013 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left May 3, 2005, registered Jun 10, 2005 (38 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- M•••••• W•••••• C••••• left C••••••• S••••••••• I••• for K•• I••••••••• S••••••• L•• (registered 2023-04-26)May 1, 2023 · a•••••• firm change · 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address