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.
T••••• B• D••••••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Jun 3, 2022 · Willow Grove, Pa
- T• P•••••• C••••• W••••• L•• BD affiliatedSep 5, 2018 to Jun 17, 2022 · Haddon Township, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 14, 2015 to Aug 24, 2018 · Radnor, Pa
- T• A••••••••• I••• formerApr 14, 2015 to Aug 24, 2018 · Radnor, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 17, 2013 to Apr 2, 2015 · Pennington, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDAug 30, 2007 to Aug 14, 2008 · Marlton, Nj
- T• P•••••• C••••• W••••• L•• to L•••••• S•• I••••••••• A•••••••• L•••••left Jun 17, 2022, registered Jun 3, 2022 (-14 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 24, 2018, registered Apr 14, 2015 (-1228 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 24, 2018, registered Apr 14, 2015 (-1228 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 2, 2015, registered Apr 14, 2015 (12 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 14, 2008, registered Dec 17, 2013 (1951 days) · Affiliated broker-dealer or bank to wirehouse
- T••••• B• D•••••• left T• P•••••• C••••• W••••• L•• for L•••••• S•• I••••••••• A•••••••• L••••• (registered 2022-06-03)Jun 17, 2022 · Advisor changed firm · fact
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address