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.
S•••••• E• T••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Jan 24, 2023 · Mechanicsburg, Pa
- V••••••••• A••••••• S••••••• BD affiliatedMay 1, 2012 to Jan 9, 2023 · Woodbury, Ny
- R•• C•••••• M••••••• L•• national BDOct 24, 2011 to Apr 19, 2012 · Lemoyne, Pa
- V••••••••• A••••••• S••••••• to I• F•••••••• A••••••• S••••••• L••left Jan 9, 2023, registered Jan 24, 2023 (15 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to V••••••••• A••••••• S•••••••left Apr 19, 2012, registered May 1, 2012 (12 days) · Other
- S•••••• E• T•••• left V••••••••• A••••••• S••••••• for I• F•••••••• A••••••• S••••••• L•• (registered 2023-01-24)Jan 9, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address