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•••••• C••••• B•••
- J••••• C•••••• M••••••••• L•• independent RIA currentsince Jun 6, 2024 · Pittston, Pa
- P••••• W••••• A•••••••• L•• formerDec 9, 2011 to Dec 2, 2024 · Wilmington, De
- H•••••• T••••••• • K•••• L•• independent RIADec 8, 2011 to Sep 26, 2013 · Wilmington, De
- A••••••••• W••••• P••••••• independent RIAApr 8, 2009 to Jul 14, 2010 · Minnetonka, Mn
- C••••• A•••••• N••••••• L•• formerJun 5, 2008 to Dec 8, 2011 · King Of Prussia, Pa
- P•••••••• S••••••••• I••• BD affiliatedJan 24, 2003 to Jun 9, 2008 · Wilmington, De
- 1••• C•••••• M••••••••• C•••••• unclassifiedAug 22, 2002 to Oct 23, 2002 · Newark , De
- S••••••• F•••••••• S•••••••• I••• formerOct 6, 1997 to Jun 21, 2002 · Neward, De
- P••••• W••••• A•••••••• L•• to J••••• C•••••• M••••••••• L••left Dec 2, 2024, registered Jun 6, 2024 (-179 days) · RIA to RIA
- H•••••• T••••••• • K•••• L•• to P••••• W••••• A•••••••• L••left Sep 26, 2013, registered Dec 9, 2011 (-657 days) · Other
- C••••• A•••••• N••••••• L•• to A••••••••• W••••• P•••••••left Dec 8, 2011, registered Apr 8, 2009 (-974 days) · Other
- A••••••••• W••••• P••••••• to H•••••• T••••••• • K•••• L••left Jul 14, 2010, registered Dec 8, 2011 (512 days) · Other
- P•••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Jun 9, 2008, registered Jun 5, 2008 (-4 days) · Other
- 1••• C•••••• M••••••••• C•••••• to P•••••••• S••••••••• I•••left Oct 23, 2002, registered Jan 24, 2003 (93 days) · Other
- S••••••• F•••••••• S•••••••• I••• to 1••• C•••••• M••••••••• C••••••left Jun 21, 2002, registered Aug 22, 2002 (62 days) · Other
- M•••••• C••••• B••• left P••••• W••••• A•••••••• L•• for J••••• C•••••• M••••••••• L•• (registered 2024-06-06)Dec 2, 2024 · a•••••• firm change · 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address