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•••••• BD affiliated currentsince Apr 6, 2021 · Mechanicsburg, Pa
- D••••• W•••••• L•• formerMar 23, 2016 to May 3, 2021 · Wormleysburg, Pa
- S•• W••••• A•••••••• I••• formerJan 20, 2014 to Apr 8, 2016 · State College, Pa
- D••••• W•••••• L•• to M••••••left May 3, 2021, registered Apr 6, 2021 (-27 days) · RIA to affiliated broker-dealer or bank
- S•• W••••• A•••••••• I••• to D••••• W•••••• L••left Apr 8, 2016, registered Mar 23, 2016 (-16 days) · Other · moved with a team
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address