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.
S•••••• J••• G••••• G•••••
- S•••• T•••• I••••••••• independent RIA currentsince Jan 3, 2023 · Malvern, Pa
- W••• C•••••• P•••••••• L•• independent RIAMar 27, 2020 to Dec 13, 2022 · Wayne, Pa
- O•••• A••••••• S•••••••• L•• BD affiliatedSep 20, 2018 to Mar 25, 2020 · Exton, Pa
- W•••• F•••• A••••••• wirehouseJan 7, 2016 to Sep 24, 2018 · Wayne, Pa
- C••••• S••••• S••••••••• •••• L•• formerSep 16, 2008 to Feb 2, 2016 · West Conshohocken, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 1997 to Sep 17, 2008 · Philadelphia, Pa
- W••• C•••••• P•••••••• L•• to S•••• T•••• I•••••••••left Dec 13, 2022, registered Jan 3, 2023 (21 days) · RIA to RIA
- O•••• A••••••• S•••••••• L•• to W••• C•••••• P•••••••• L••left Mar 25, 2020, registered Mar 27, 2020 (2 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to O•••• A••••••• S•••••••• L••left Sep 24, 2018, registered Sep 20, 2018 (-4 days) · Wirehouse to independent RIA
- C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••left Feb 2, 2016, registered Jan 7, 2016 (-26 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• S••••• S••••••••• •••• L••left Sep 17, 2008, registered Sep 16, 2008 (-1 days) · Other
- S•••••• J••• G••••• G••••• left W••• C•••••• P•••••••• L•• for S•••• T•••• I••••••••• (registered 2023-01-03)Dec 13, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address