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••••• L••••• K•••••
- C••••••• institutional currentsince Sep 15, 2015 · Walnutport, Pa
- M•• S••••••••• formerNov 12, 2008 to Dec 23, 2015 · Bethlehem, Pa
- E•••••••• A•••••••• L•• national BDAug 13, 2007 to Feb 19, 2008 · Bethlehem, Pa
- S••••••• I••••••••• I••• formerSep 7, 2004 to Dec 31, 2005 · Allentown, Pa
- M•• S••••••••• to C•••••••left Dec 23, 2015, registered Sep 15, 2015 (-99 days) · Other · moved with a team
- E•••••••• A•••••••• L•• to M•• S•••••••••left Feb 19, 2008, registered Nov 12, 2008 (267 days) · Other
- S••••••• I••••••••• I••• to E•••••••• A•••••••• L••left Dec 31, 2005, registered Aug 13, 2007 (590 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
- Institutional managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address