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.
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Houtzdale, Pa
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Philipsburg, Pa
- I••••••••• A••••••• S••••••• I•• formerJan 31, 2019 to Jul 17, 2020 · Philipsburg, Pa
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Mar 2, 2018 · Philipsburg, Pa
- I••••• F•••••••• C••••••••• formerJan 11, 2007 to Feb 14, 2018 · Philipsburg, Pa
- I•••••••• C•••••• A••••••• formerJan 12, 2005 to Dec 8, 2006 · Philipsburg, Pa
- E•••••• P•••• A••••••• I••• unclassifiedApr 20, 2001 to Dec 31, 2004 · Philipsburg, Pa
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to I••••••••• A••••••• S••••••• I••left Mar 2, 2018, registered Jan 31, 2019 (335 days) · RIA to affiliated broker-dealer or bank
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- I•••••••• C•••••• A••••••• to I••••• F•••••••• C•••••••••left Dec 8, 2006, registered Jan 11, 2007 (34 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Dec 31, 2004, registered Jan 12, 2005 (12 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address