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••••• R••••• W•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 2, 2024 · Wilkes-Barre, Pa
- P••• A••••• S••••••••• L•• BD affiliatedMar 28, 2017 to Aug 5, 2024 · Doylestown, Pa
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 18, 2013 to Mar 30, 2017 · Doylestown, Pa
- H• B•••• I••• formerJul 27, 2007 to Apr 1, 2013 · Rockville, Md
- S••••••••• A•••••• A•••••••• I••• formerDec 4, 2006 to Aug 2, 2007 · Doylestown, Pa
- I••••••••• A••••••• A•••• M••••••••• L•• formerJul 19, 2004 to Dec 5, 2006 · Doylestown, Pa
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Aug 5, 2024, registered Aug 2, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• I••••••••• R••••••• A•••••••• I••• to P••• A••••• S••••••••• L••left Mar 30, 2017, registered Mar 28, 2017 (-2 days) · Other
- H• B•••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 1, 2013, registered Mar 18, 2013 (-14 days) · Other
- S••••••••• A•••••• A•••••••• I••• to H• B•••• I•••left Aug 2, 2007, registered Jul 27, 2007 (-6 days) · Other
- I••••••••• A••••••• A•••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Dec 5, 2006, registered Dec 4, 2006 (-1 days) · Other
- A••••• R••••• W••••• left P••• A••••• S••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2024-08-02)Aug 5, 2024 · Advisor changed firm · fact
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address