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.
T• M•••••• W••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 21, 2019 · York, Pa
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Aug 20, 2019 · York, Pa
- L•• F•••••••• L•• BD affiliatedJun 22, 2010 to Sep 19, 2012 · York, Pa
- I••••• F•••••••• C••••••••• formerNov 17, 2008 to Feb 19, 2009 · Dillsburg, Pa
- C••••• A•••••• N••••••• L•• formerSep 28, 2006 to Oct 21, 2008 · Mechanicsburg, Pa
- O• I••••••••• M••••••••• C• BD affiliatedApr 21, 2004 to Jun 19, 2006 · Mechanicsburg, Pa
- S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 20, 2019, registered Aug 21, 2019 (1 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 19, 2009, registered Jun 22, 2010 (488 days) · Other
- C••••• A•••••• N••••••• L•• to I••••• F•••••••• C•••••••••left Oct 21, 2008, registered Nov 17, 2008 (27 days) · Other
- O• I••••••••• M••••••••• C• to C••••• A•••••• N••••••• L••left Jun 19, 2006, registered Sep 28, 2006 (101 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