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.
P••• L•••••• M•••••••
- A••••• W••••• independent RIA currentsince Mar 17, 2025 · West Hartford, Ct
- M••••••• P•••••• W•••••• L•• formerOct 2, 2023 to Mar 28, 2025 · Wyomissing, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Oct 3, 2023 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 12, 2001 to Jan 2, 2009 · Wyomissing, Pa
- M••••••• P•••••• W•••••• L•• to A••••• W•••••left Mar 28, 2025, registered Mar 17, 2025 (-11 days) · RIA to RIA · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••••• P•••••• W•••••• L••left Oct 3, 2023, registered Oct 2, 2023 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- P••• L•••••• M••••••• left M••••••• P•••••• W•••••• L•• for A••••• W••••• (registered 2025-03-17)Mar 28, 2025 · Advisor changed firm · fact
- P••• L•••••• M••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for M••••••• P•••••• W•••••• L•• (registered 2023-10-02)Oct 3, 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address