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•••• N•• B••••••
- O•••• P•••••••• S••••••••• L•• BD affiliated currentsince Nov 4, 2024 · Omaha, Ne
- S•• I••••••••• M••••••••• C••• mixed wealthJul 12, 2013 to Nov 8, 2023 · Oaks, Pa
- D••••• M••••• • C•• independent RIAApr 5, 2010 to Jun 6, 2012 · Radnor, Pa
- L••••• C•••••• M••••••••• L•• formerMar 11, 2009 to Dec 7, 2009 · Philadelphia, Pa
- S•• I••••••••• M••••••••• C••• to O•••• P•••••••• S••••••••• L••left Nov 8, 2023, registered Nov 4, 2024 (362 days) · Other
- D••••• M••••• • C•• to S•• I••••••••• M••••••••• C•••left Jun 6, 2012, registered Jul 12, 2013 (401 days) · Other
- L••••• C•••••• M••••••••• L•• to D••••• M••••• • C••left Dec 7, 2009, registered Apr 5, 2010 (119 days) · Other
- M•••• N•• B•••••• left S•• I••••••••• M••••••••• C••• for O•••• P•••••••• S••••••••• L•• (registered 2024-11-04)Nov 8, 2023 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address