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.
G•••••• F•••••• W••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 16, 2024 · Brogue, Pa
- L•• F•••••••• L•• BD affiliatedNov 22, 2016 to Sep 20, 2024 · York, Pa
- C••••• A•••••• N••••••• L•• formerMay 12, 2015 to Nov 22, 2016 · York, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Apr 28, 2015 · York, Pa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 4, 2008 to Jan 2, 2009 · York, Pa
- C••••• I••••••••• S••••••• L•• formerMar 18, 2008 to Jun 5, 2008 · York, Pa
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 20, 2024, registered Sep 16, 2024 (-4 days) · Affiliated broker-dealer or bank to another
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Nov 22, 2016, registered Nov 22, 2016 (0 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••• A•••••• N••••••• L••left Apr 28, 2015, registered May 12, 2015 (14 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 5, 2008, registered Jun 4, 2008 (-1 days) · Other
- G•••••• F•••••• W•••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-09-16)Sep 20, 2024 · a•••••• firm change · 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address