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.
L••••••• J••••• K••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Mar 21, 2023 · Doylestown, Pa
- S••••••••• A•••••• A•••••••• I••• formerMar 9, 2015 to Jan 3, 2023 · Doylestown, Pa
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 16, 2014 to Jul 15, 2014 · Doylestown, Pa
- C•••••• G•••• • C• I•• formerJan 3, 2012 to Dec 31, 2013 · Doylestown, Pa
- H•••••• T••••••• • K•••• L•• i••••••••• wealthNov 15, 2011 to Dec 31, 2011 · Doylestown, Pa
- H•••••• T••••••• • K•••• L•• i••••••••• wealthNov 9, 2006 to Nov 9, 2011 · Doylestown, Pa
- S••••••••• A•••••• A•••••••• I••• to I••••••••• F•••••••• G••••• L••left Jan 3, 2023, registered Mar 21, 2023 (77 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jul 15, 2014, registered Mar 9, 2015 (237 days) · Other
- C•••••• G•••• • C• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2013, registered May 16, 2014 (136 days) · Other
- H•••••• T••••••• • K•••• L•• to C•••••• G•••• • C• I••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · Other
- L••••••• J••••• K•••• left S••••••••• A•••••• A•••••••• I••• for I••••••••• F•••••••• G••••• L•• (registered 2023-03-21)Jan 3, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 54derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address