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••••• J•••• B••••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Feb 14, 2020 · West Chester, Pa
- C•••••• A••••••• BD affiliatedSep 28, 2016 to Jan 10, 2020 · Jenkintown, Pa
- L•••••• I••••••••• independent RIASep 28, 2016 to Jan 10, 2020 · Horsham, Pa
- O•••• F•• I••• formerOct 2, 2015 to Oct 7, 2016 · Thornton, Pa
- I• A••••••• S•••••••• I••• formerJun 2, 2006 to Oct 5, 2015 · Thornton, Pa
- T•• I••••••••• C•••••• I••• unclassifiedJun 1, 2005 to Jun 2, 2006 · Thornton, Pa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to May 25, 2005 · Wilmington, De
- Q•••• • R•••••• I••• unclassifiedAug 12, 2004 to Oct 20, 2004 · Wilmington, De
- C•••••• A••••••• to W••••••••• A••••••• P••••••• L••left Jan 10, 2020, registered Feb 14, 2020 (35 days) · Affiliated broker-dealer or bank to independent RIA
- L•••••• I••••••••• to C•••••• A•••••••left Jan 10, 2020, registered Sep 28, 2016 (-1199 days) · Other · moved with a team
- O•••• F•• I••• to L•••••• I•••••••••left Oct 7, 2016, registered Sep 28, 2016 (-9 days) · Other
- I• A••••••• S•••••••• I••• to O•••• F•• I•••left Oct 5, 2015, registered Oct 2, 2015 (-3 days) · Other
- T•• I••••••••• C•••••• I••• to I• A••••••• S•••••••• I•••left Jun 2, 2006, registered Jun 2, 2006 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to T•• I••••••••• C•••••• I•••left May 25, 2005, registered Jun 1, 2005 (7 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address