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•••••• S•••••• P•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 26, 2019 · Upper Saint Clair, Pa
- U•• F•••••••• S••••••• I••• wirehouseDec 18, 2007 to Jun 26, 2019 · Erie, Pa
- C••••• A•••••• N••••••• L•• formerJul 11, 2007 to Dec 20, 2007 · Sewickley, Pa
- S••••••••• A•••••••• I••• unclassifiedAug 22, 2005 to Dec 31, 2006 · Pittsburgh, Pa
- C••••••• M••••••••• A•••••••• I••• unclassifiedSep 2, 2004 to Mar 17, 2005 · Boston, Ma
- S••••••• BD affiliatedJun 4, 2002 to Jan 1, 2003 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 26, 2019, registered Dec 26, 2019 (183 days) · Wirehouse to wirehouse
- C••••• A•••••• N••••••• L•• to U•• F•••••••• S••••••• I•••left Dec 20, 2007, registered Dec 18, 2007 (-2 days) · Other
- S••••••••• A•••••••• I••• to C••••• A•••••• N••••••• L••left Dec 31, 2006, registered Jul 11, 2007 (192 days) · Other
- C••••••• M••••••••• A•••••••• I••• to S••••••••• A•••••••• I•••left Mar 17, 2005, registered Aug 22, 2005 (158 days) · Other
- S••••••• to C••••••• M••••••••• A•••••••• I•••left Jan 1, 2003, registered Sep 2, 2004 (610 days) · Other
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
- Wirehousederived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address