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.
W•••• W••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 8, 2021 · Irwin, Pa
- A••••••• C•••••• M••••••••• L•• independent RIAJun 6, 2019 to Nov 9, 2020 · Pittsburgh, Pa
- D••••••• F••••••• L•• asset managerDec 15, 2016 to Mar 25, 2019 · Norwood, Ma
- W••• D••••••• • C••• I•• formerApr 3, 2013 to Dec 13, 2016 · N. Huntingdon, Pa
- L•• F•••••••• L•• BD affiliatedAug 11, 2011 to Feb 10, 2012 · Natronia Heights, Pa
- V•••• F•••••••• A•••••••• I••• BD affiliatedDec 15, 2010 to Jul 28, 2011 · Seven Fields, Pa
- T•••••••• A••••••• G••••• I••• BD affiliatedMar 25, 2009 to Oct 5, 2009 · North Huntingdon, Pa
- C••••••• S••••••••• I••• BD affiliatedMay 1, 2003 to Aug 7, 2003 · No. Huntington, Pa
- A••••••• C•••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 9, 2020, registered Feb 8, 2021 (91 days) · RIA to affiliated broker-dealer or bank
- D••••••• F••••••• L•• to A••••••• C•••••• M••••••••• L••left Mar 25, 2019, registered Jun 6, 2019 (73 days) · Other
- W••• D••••••• • C••• I•• to D••••••• F••••••• L••left Dec 13, 2016, registered Dec 15, 2016 (2 days) · Other · moved with a team
- L•• F•••••••• L•• to W••• D••••••• • C••• I••left Feb 10, 2012, registered Apr 3, 2013 (418 days) · Other
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Jul 28, 2011, registered Aug 11, 2011 (14 days) · Other
- T•••••••• A••••••• G••••• I••• to V•••• F•••••••• A•••••••• I•••left Oct 5, 2009, registered Dec 15, 2010 (436 days) · Other
- C••••••• S••••••••• I••• to T•••••••• A••••••• G••••• I•••left Aug 7, 2003, registered Mar 25, 2009 (2057 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address