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.
F•••• R••••• P•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 28, 2022 · New Hope, Pa
- L•• F•••••••• L•• BD affiliatedSep 6, 2018 to Feb 9, 2022 · New Hope, Pa
- W•••• F•••• A••••••• wirehouseApr 5, 2000 to Feb 4, 2003 · Doylestown, Pa
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 9, 2022, registered Jan 28, 2022 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to L•• F•••••••• L••left Feb 4, 2003, registered Sep 6, 2018 (5693 days) · Wirehouse to independent RIA
- F•••• R••••• P••••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-01-28)Feb 9, 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address