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•••••• D•••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 1, 2018 · Lansdale, Pa
- N••••••••• S••••••••• L•• no RAUMJan 25, 2011 to Nov 5, 2018 · Boyertown, Pa
- M•• F•••••••• S•••••••• I••• formerSep 6, 2007 to Nov 18, 2010 · Lansdale, Pa
- N••••••••• S••••••••• L•• to L•• F•••••••• L••left Nov 5, 2018, registered Nov 1, 2018 (-4 days) · Other
- M•• F•••••••• S•••••••• I••• to N••••••••• S••••••••• L••left Nov 18, 2010, registered Jan 25, 2011 (68 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address