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•••••• S••••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 20, 2021 · Doylestown, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 26, 2016 to Oct 6, 2021 · Doylestown, Pa
- L•• F•••••••• L•• BD affiliatedFeb 23, 2010 to May 25, 2016 · Doylestown, Pa
- W••••• A••••••• S•••••••• I••• unclassifiedJan 17, 2007 to Dec 31, 2021 · Doylestown, Pa
- P••• A••••••• S•••••••• I••• unclassifiedJul 23, 2003 to Dec 31, 2006 · Doylestown, Pa
- W••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 31, 2021, registered Feb 23, 2010 (-4329 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Oct 6, 2021, registered Sep 20, 2021 (-16 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 25, 2016, registered May 26, 2016 (1 days) · Other · moved with a team
- P••• A••••••• S•••••••• I••• to W••••• A••••••• S•••••••• I•••left Dec 31, 2006, registered Jan 17, 2007 (17 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