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••••• M••••• G•••••••
- N•••••• F•••••••• G••••• I••• independent RIA currentsince Mar 22, 2021 · Pottstown, Pa
- W•••• F•••• A••••••• wirehouseJan 14, 2011 to Mar 23, 2021 · Exton, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 21, 2004 to Jan 12, 2005 · Exton, Pa
- W•••• F•••• A••••••• to N•••••• F•••••••• G••••• I•••left Mar 23, 2021, registered Mar 22, 2021 (-1 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 12, 2005, registered Jan 14, 2011 (2193 days) · Wirehouse to wirehouse
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