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.
T•••••• A•••••••• Q••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Philadelphia, Pa
- C••• B•••••••• S•••••••• I••• formerApr 1, 2015 to May 18, 2022 · Philadelphia, Pa
- S••••••• P•••••• F••••••••• L•• formerMar 17, 2014 to Jul 21, 2014 · Kimberton, Pa
- C••• F•••••••• S•••••••• L••• formerApr 9, 2012 to Mar 6, 2015 · Columbia, Md
- N•• A•••••• S•••••••• L•• formerJan 4, 2010 to May 2, 2012 · Warrington, Pa
- M•• F•••••••• S•••••••• I••• formerNov 2, 2007 to Jan 23, 2009 · Baltimore, Md
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••left Mar 6, 2015, registered Mar 17, 2014 (-354 days) · Other
- S••••••• P•••••• F••••••••• L•• to C••• B•••••••• S•••••••• I•••left Jul 21, 2014, registered Apr 1, 2015 (254 days) · Other
- N•• A•••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left May 2, 2012, registered Apr 9, 2012 (-23 days) · Other
- M•• F•••••••• S•••••••• I••• to N•• A•••••• S•••••••• L••left Jan 23, 2009, registered Jan 4, 2010 (346 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address