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.
W••••••• A••••• H•••
- L•• F•••••••• L•• BD affiliated currentsince Jun 5, 2017 · Bensalem, Pa
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Jun 1, 2017 · Philadelphia, Pa
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Sep 20, 2012 · Media, Pa
- I••• S••••••••• I••• unclassifiedJun 29, 2007 to May 27, 2008 · Newtown Square, Pa
- F•••• H•••••• A•••••••• I•• formerJul 27, 2005 to Jun 26, 2007 · Warminster, Pa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jul 25, 2005 · Warminster, Pa
- Q•••• • R•••••• I••• unclassifiedMay 10, 2004 to Oct 20, 2004 · Philadelphia, Pa
- S•••••••• S••••••••• to L•• F•••••••• L••left Jun 1, 2017, registered Jun 5, 2017 (4 days) · Other · moved with a team
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 20, 2012, registered Sep 19, 2012 (-1 days) · corporate re-registration, not a move
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- F•••• H•••••• A•••••••• I•• to I••• S••••••••• I•••left Jun 26, 2007, registered Jun 29, 2007 (3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to F•••• H•••••• A•••••••• I••left Jul 25, 2005, registered Jul 27, 2005 (2 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
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