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.
M•••• L•• K•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 24, 2020 · State College, Pa
- U••••• A••••••• S•••••••• L•• formerNov 11, 2016 to Jul 31, 2020 · State College, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 16, 2016 · State College, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 22, 2009 to Jul 23, 2009 · State College, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 28, 2004 to May 29, 2009 · State College, Pa
- U••••• A••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 31, 2020, registered Jul 24, 2020 (-7 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to U••••• A••••••• S•••••••• L••left Nov 16, 2016, registered Nov 11, 2016 (-5 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jul 23, 2009, registered Jun 1, 2009 (-52 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2009, registered May 22, 2009 (-7 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address