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.
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- A• W••••• P••••••• mixed wealth currentsince Sep 25, 2023 · Berwyn, Pa
- O•••• P•••••••• S••••••••• L•• formerJan 12, 2022 to May 9, 2022 · Berwyn, Pa
- O•••• P•••••••• S••••••••• L•• BD affiliatedOct 19, 2020 to Dec 31, 2021 · Omaha, Ne
- B•••••• C•••••• I•• formerJun 22, 2016 to Oct 16, 2020 · Berwyn, Pa
- M••••• S•••••• wirehouseMay 13, 2011 to Jun 30, 2016 · Wilmmington, De
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 21, 2010 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 27, 2006 to Jun 1, 2009 · Wilmington, De
- O•••• P•••••••• S••••••••• L•• to A• W••••• P•••••••left May 9, 2022, registered Sep 25, 2023 (504 days) · Other
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Dec 31, 2021, registered Jan 12, 2022 (12 days) · corporate re-registration, not a move
- B•••••• C•••••• I•• to O•••• P•••••••• S••••••••• L••left Oct 16, 2020, registered Oct 19, 2020 (3 days) · corporate re-registration, not a move
- M••••• S•••••• to B•••••• C•••••• I••left Jun 30, 2016, registered Jun 22, 2016 (-8 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- J•••• B••••••• M•••• left O•••• P•••••••• S••••••••• L•• for A• W••••• P••••••• (registered 2023-09-25)May 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address