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••••••• M•••• S•••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Jul 30, 2018 · Conshohocken, Pa
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 3, 2018 to Jun 22, 2018 · Radnor, Pa
- S•• BD affiliatedDec 16, 2013 to Feb 16, 2018 · Blue Bell, Pa
- N•• E•••••• S••••••••• C••••••••• formerJul 24, 2002 to Dec 20, 2013 · Newtown Square, Pa
- M•• I•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Jun 22, 2018, registered Jul 30, 2018 (38 days) · Affiliated broker-dealer or bank to another
- S•• to M•• I•••••••• S•••••••• L••left Feb 16, 2018, registered Apr 3, 2018 (46 days) · Other
- N•• E•••••• S••••••••• C••••••••• to S••left Dec 20, 2013, registered Dec 16, 2013 (-4 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address