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••••• T••••• C•••••••••
- C•••••• A••••••• BD affiliated currentsince Dec 4, 2017 · Horsham, Pa
- L•••••• I••••••••• independent RIA currentsince Dec 4, 2017 · Horsham, Pa
- P•••••••• S••••••••• I••• BD affiliatedOct 25, 2002 to Dec 14, 2017 · Tucson, Az
- 1••• C•••••• M••••••••• C•••••• unclassifiedSep 26, 2001 to Oct 28, 2002 · King Of Prussia, Pa
- P•••••••• S••••••••• I••• to C•••••• A•••••••left Dec 14, 2017, registered Dec 4, 2017 (-10 days) · Other
- 1••• C•••••• M••••••••• C•••••• to P•••••••• S••••••••• I•••left Oct 28, 2002, registered Oct 25, 2002 (-3 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address