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.
J••• L••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 3, 2020 · Cannonsburg, Pa
- W•••••• • R••• formerJul 16, 2012 to Jun 2, 2020 · Hamden, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 2, 2009 to Jul 25, 2012 · Sewickley, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 5, 2006 to Feb 2, 2009 · Pittsburgh, Pa
- W•••••• • R••• to L•• F•••••••• L••left Jun 2, 2020, registered Jun 3, 2020 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Jul 25, 2012, registered Jul 16, 2012 (-9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 2, 2009, registered Feb 2, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address