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.
A••• D•••• K•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 20, 2025 · Warrington, Pa
- C•••••••• F•••••••• G•••• A••••••• formerOct 8, 2018 to Feb 20, 2025 · Warrington, Pa
- S••••••• I••••••••• I••• formerMay 13, 2016 to Oct 15, 2018 · Warrington, Pa
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 4, 2009 to May 13, 2016 · Warrington, Pa
- T••••••••• F•••••••• A•••••••• I••• unclassifiedJul 17, 2009 to Sep 4, 2009 · Warrington, Pa
- A••••••• A••••••• S••••••• formerSep 22, 2005 to Jul 10, 2009 · Feasterville Trevose, Pa
- H•••••• T••••••• • K•••• L•• independent RIAJun 25, 2004 to Mar 23, 2005 · Warrington, Pa
- C•••••••• F•••••••• G•••• A••••••• to C••••• I••••••••• A••••••• L••left Feb 20, 2025, registered Feb 20, 2025 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Oct 15, 2018, registered Oct 8, 2018 (-7 days) · Affiliated broker-dealer or bank to another
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Sep 4, 2009, registered Sep 4, 2009 (0 days) · corporate re-registration, not a move
- A••••••• A••••••• S••••••• to T••••••••• F•••••••• A•••••••• I•••left Jul 10, 2009, registered Jul 17, 2009 (7 days) · Other
- H•••••• T••••••• • K•••• L•• to A••••••• A••••••• S•••••••left Mar 23, 2005, registered Sep 22, 2005 (183 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address