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.
M•••••• D•••• W•••
- L•• F•••••••• L•• BD affiliated currentsince Jun 22, 2021 · Bedford, Pa
- M•• S••••••••• I••• unclassifiedMay 11, 2017 to Jun 9, 2021 · Williamsport, Pa
- O•••• I••••••••• I••• BD affiliatedOct 14, 2015 to Oct 11, 2016 · Hollidaysburg, Pa
- E•••• N••••••• S••••••••• I••• formerMar 3, 2014 to Oct 16, 2015 · Holliday, Pa
- W•••• F•••• A••••••• wirehouseMay 5, 2006 to Feb 5, 2014 · Hollidaysburg, Pa
- U•• F•••••••• S••••••• I••• wirehouseJan 29, 2002 to May 25, 2006 · Altoona, Pa
- M•• S••••••••• I••• to L•• F•••••••• L••left Jun 9, 2021, registered Jun 22, 2021 (13 days) · corporate re-registration, not a move
- O•••• I••••••••• I••• to M•• S••••••••• I•••left Oct 11, 2016, registered May 11, 2017 (212 days) · Other
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Oct 16, 2015, registered Oct 14, 2015 (-2 days) · Other · moved with a team
- W•••• F•••• A••••••• to E•••• N••••••• S••••••••• I•••left Feb 5, 2014, registered Mar 3, 2014 (26 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left May 25, 2006, registered May 5, 2006 (-20 days) · Wirehouse to wirehouse
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address