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.
D••••• M•• L•••
- S••••• M••••••••• independent RIA currentsince Mar 22, 2017 · Sinking Spring, Pa
- I•••••••• F•• W••••• A•••••••• I••• formerMar 15, 2017 to May 2, 2017 · Sinking Spring, Pa
- C•••••• W••••• M••••••••• formerJul 18, 2014 to May 4, 2017 · Sinking Spring, Pa
- M••••• S•••••• wirehouseFeb 9, 2011 to Jul 29, 2014 · Wyomissing, Pa
- C•••••• W••••• M••••••••• to I•••••••• F•• W••••• A•••••••• I•••left May 4, 2017, registered Mar 15, 2017 (-50 days) · Other · moved with a team
- I•••••••• F•• W••••• A•••••••• I••• to S••••• M•••••••••left May 2, 2017, registered Mar 22, 2017 (-41 days) · Other
- M••••• S•••••• to C•••••• W••••• M•••••••••left Jul 29, 2014, registered Jul 18, 2014 (-11 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address