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.
E••••• C•••••• K••••
- C••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince Sep 1, 2023 · New York, Ny
- O•••• P•••••••• S••••••••• L•• formerJan 14, 2022 to Jan 6, 2023 · Berwyn, Pa
- O•••• P•••••••• S••••••••• L•• BD affiliatedOct 19, 2020 to Dec 31, 2021 · Omaha, Ne
- B•••••• C•••••• I•• formerJun 22, 2012 to Oct 16, 2020 · Berwyn, Pa
- A••••••••• I••• BD affiliatedMay 20, 2010 to Jun 25, 2012 · Concord, Ca
- N••••••••• I••••••••• S••••••• C••••••••• unclassifiedMay 13, 2005 to Feb 15, 2006 · Columbus, Oh
- C••••• C••••••• L•• formerJan 9, 2003 to Dec 17, 2004 · Denver, Co
- O•••• P•••••••• S••••••••• L•• to C••• P•••••• W••••• A•••••••• I•••left Jan 6, 2023, registered Sep 1, 2023 (238 days) · RIA to affiliated broker-dealer or bank
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Dec 31, 2021, registered Jan 14, 2022 (14 days) · corporate re-registration, not a move
- B•••••• C•••••• I•• to O•••• P•••••••• S••••••••• L••left Oct 16, 2020, registered Oct 19, 2020 (3 days) · corporate re-registration, not a move
- A••••••••• I••• to B•••••• C•••••• I••left Jun 25, 2012, registered Jun 22, 2012 (-3 days) · Other
- N••••••••• I••••••••• S••••••• C••••••••• to A••••••••• I•••left Feb 15, 2006, registered May 20, 2010 (1555 days) · Other
- C••••• C••••••• L•• to N••••••••• I••••••••• S••••••• C•••••••••left Dec 17, 2004, registered May 13, 2005 (147 days) · Other
- Edward Charles Kelly left Orion Portfolio Solutions, Llc for Cibc Private Wealth Advisors, Inc. (registered 2023-09-01)Jan 6, 2023 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address