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•••• D••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Jan 17, 2020 · Lewes, De
- M••••• S•••••• wirehouseNov 18, 2013 to Jan 21, 2020 · Berwyn, Pa
- C••••••• S••••••••• I••• BD affiliatedMay 28, 2010 to Oct 23, 2012 · Plymouth Meeting, Pa
- P•• W••••• M••••••••• BD affiliatedDec 10, 2007 to May 3, 2010 · Newton Square, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2004 to Sep 5, 2007 · Wayne, Pa
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to Jan 20, 2005 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedJan 31, 2003 to Aug 11, 2003 · Tampa, Fl
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Jan 21, 2020, registered Jan 17, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C••••••• S••••••••• I••• to M••••• S••••••left Oct 23, 2012, registered Nov 18, 2013 (391 days) · Other
- P•• W••••• M••••••••• to C••••••• S••••••••• I•••left May 3, 2010, registered May 28, 2010 (25 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Sep 5, 2007, registered Dec 10, 2007 (96 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 20, 2005, registered Sep 9, 2004 (-133 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Aug 11, 2003, registered Jul 10, 2003 (-32 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address