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.
A••• T••• S••••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Jul 22, 2016 · Conshohocken, Pa
- M•• F•••••••• S•••••••• I••• formerFeb 7, 2011 to Jul 1, 2016 · Philadelphia, Pa
- F•••••••• F•••••••• A••••••• state registeredAug 23, 2004 to Aug 2, 2016 · Philadelphia , Pa
- E•••••••• A•••••••• L•• national BDJul 5, 2002 to Feb 10, 2011 · Philadelphia, Pa
- P••••••• F•••••••• A••••••• unclassifiedAug 9, 2001 to Dec 17, 2004 · Philadelphia, Pa
- F•••••••• F•••••••• A••••••• to M•• F•••••••• S•••••••• I•••left Aug 2, 2016, registered Feb 7, 2011 (-2003 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Jul 1, 2016, registered Jul 22, 2016 (21 days) · Other · moved with a team
- E•••••••• A•••••••• L•• to F•••••••• F•••••••• A•••••••left Feb 10, 2011, registered Aug 23, 2004 (-2362 days) · Affiliated broker-dealer or bank to a state-registered adviser
- P••••••• F•••••••• A••••••• to E•••••••• A•••••••• L••left Dec 17, 2004, registered Jul 5, 2002 (-896 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address