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.
R••••• C•••••• M•••••••
- J••• E••••••••• L•• independent RIA currentsince Mar 8, 2021 · Newtown, Pa
- W•••• F•••• A••••••• wirehouseMar 23, 2018 to Apr 29, 2021 · Newtown, Pa
- W•••• F•••• A••••••• wirehouseSep 6, 2005 to Mar 23, 2018 · Yardley, Pa
- W•••• F•••• A••••••• to J••• E••••••••• L••left Apr 29, 2021, registered Mar 8, 2021 (-52 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Mar 23, 2018, registered Mar 23, 2018 (0 days) · channel change inside one enterprise, not a move · moved with a team
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