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.
R•••• G••••• P•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 30, 2009 · Monroeville, Pa
- B•• M••••• S••••••••• C••••••••• otherJul 2, 2007 to Nov 4, 2009 · Pittsburgh, Pa
- M•••• L•• unclassifiedJul 12, 2006 to Jul 2, 2007 · Pittsburgh, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDJul 18, 2003 to May 30, 2006 · Huntingdon, Pa
- B•• M••••• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 4, 2009, registered Oct 30, 2009 (-5 days) · Other
- M•••• L•• to B•• M••••• S••••••••• C•••••••••left Jul 2, 2007, registered Jul 2, 2007 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••• L••left May 30, 2006, registered Jul 12, 2006 (43 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address