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.
D•••• A••••• B•••
- L••••••• S••••••••• C•••• BD affiliated currentsince Jun 17, 2016 · Rochester, Ny
- C••••••••• C•••••• M••••••••• I••• independent RIAApr 17, 2008 to Sep 15, 2016 · Reading, Pa
- L•••••• A•••• M••••••••• independent RIASep 14, 2007 to Apr 29, 2008 · Allentown, Pa
- A•••• • F•••••••• P•••••••• L•• formerJul 17, 2002 to Sep 17, 2007 · Reading, Pa
- C••••••••• C•••••• M••••••••• I••• to L••••••• S••••••••• C••••left Sep 15, 2016, registered Jun 17, 2016 (-90 days) · Other
- L•••••• A•••• M••••••••• to C••••••••• C•••••• M••••••••• I•••left Apr 29, 2008, registered Apr 17, 2008 (-12 days) · Other
- A•••• • F•••••••• P•••••••• L•• to L•••••• A•••• M•••••••••left Sep 17, 2007, registered Sep 14, 2007 (-3 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address