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.
A•••••• H•••
- P•• W••••• M••••••••• BD affiliated currentsince Nov 17, 2011 · Hopewell, Nj
- L•• F•••••••• L•• BD affiliatedDec 3, 2010 to Nov 16, 2011 · Yardley, Pa
- C••••• I••••••••• S••••••• L•• formerFeb 19, 2009 to Nov 26, 2010 · Allentown, Pa
- W•••• F•••• A••••••• wirehouseJan 22, 2004 to Feb 10, 2009 · Willow Grove, Pa
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Nov 16, 2011, registered Nov 17, 2011 (1 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Nov 26, 2010, registered Dec 3, 2010 (7 days) · Other
- W•••• F•••• A••••••• to C••••• I••••••••• S••••••• L••left Feb 10, 2009, registered Feb 19, 2009 (9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address