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.
A••••• D•••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince May 13, 2022 · Phoenixville, Pa
- K•• I••••••••• S••••••• L•• BD affiliatedApr 16, 2018 to May 20, 2022 · Harleysville, Pa
- W•••• F•••• A••••••• wirehouseOct 21, 2016 to Apr 5, 2018 · Phoenixville, Pa
- S•••••••• S••••••••• BD affiliatedAug 18, 2014 to Sep 21, 2016 · Wayne, Pa
- C••• F•••••••• S•••••••• L••• formerOct 16, 2012 to Aug 11, 2014 · Pottstown, Pa
- P•• W••••• M••••••••• BD affiliatedApr 6, 2011 to Oct 10, 2012 · Berwyn, Pa
- C••• F•••••••• S•••••••• L••• formerMay 18, 2009 to Mar 24, 2011 · Harrisburg, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedJul 16, 2008 to Apr 22, 2009 · Philadelphia, Pa
- L•••••• F•••••••• D••••••••• I••• unclassifiedJun 12, 2007 to Feb 8, 2008 · Huntersville, Nc
- K•• I••••••••• S••••••• L•• to L•• F•••••••• L••left May 20, 2022, registered May 13, 2022 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to K•• I••••••••• S••••••• L••left Apr 5, 2018, registered Apr 16, 2018 (11 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• S••••••••• to W•••• F•••• A•••••••left Sep 21, 2016, registered Oct 21, 2016 (30 days) · Other
- C••• F•••••••• S•••••••• L••• to S•••••••• S•••••••••left Aug 11, 2014, registered Aug 18, 2014 (7 days) · Other
- P•• W••••• M••••••••• to C••• F•••••••• S•••••••• L•••left Oct 10, 2012, registered Oct 16, 2012 (6 days) · Other
- C••• F•••••••• S•••••••• L••• to P•• W••••• M•••••••••left Mar 24, 2011, registered Apr 6, 2011 (13 days) · Other
- J••••• M••••••••• S•••• L•• to C••• F•••••••• S•••••••• L•••left Apr 22, 2009, registered May 18, 2009 (26 days) · Other
- L•••••• F•••••••• D••••••••• I••• to J••••• M••••••••• S•••• L••left Feb 8, 2008, registered Jul 16, 2008 (159 days) · Other
- A••••• D•••• B•••••• left K•• I••••••••• S••••••• L•• for L•• F•••••••• L•• (registered 2022-05-13)May 20, 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address