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•••• P••• W•••••
- O•••• I••••••••• I••• BD affiliated currentsince Dec 13, 2024 · Haverford, Pa
- J••• M••••• S••••••••• L•• wirehouseMar 13, 2015 to Dec 2, 2024 · Philadelphia, Pa
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 23, 2015 · Wayne, Pa
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Wayne, Pa
- M••••• S•••••• D• I••• unclassifiedMay 26, 2006 to Apr 2, 2007 · Wayne, Pa
- L••••• B••••••• I••• unclassifiedMay 28, 2004 to Jun 8, 2006 · Philadelphia, Pa
- J••• M••••• S••••••••• L•• to O•••• I••••••••• I•••left Dec 2, 2024, registered Dec 13, 2024 (11 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to J••• M••••• S••••••••• L••left Mar 23, 2015, registered Mar 13, 2015 (-10 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- L••••• B••••••• I••• to M••••• S•••••• D• I•••left Jun 8, 2006, registered May 26, 2006 (-13 days) · Other
- D•••• P••• W••••• left J••• M••••• S••••••••• L•• for O•••• I••••••••• I••• (registered 2024-12-13)Dec 2, 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address