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••••• M••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Langhorne, Pa
- W•••••• • R••• formerNov 13, 2020 to Jul 21, 2021 · Langhorne, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedMay 26, 2009 to Nov 20, 2020 · New Hope, Pa
- W•••• F•••• A••••••• wirehouseJan 14, 2003 to May 27, 2009 · Washington Crossing, Pa
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- J••••• M••••••••• S•••• L•• to W•••••• • R•••left Nov 20, 2020, registered Nov 13, 2020 (-7 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left May 27, 2009, registered May 26, 2009 (-1 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