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.
W•••• H•••••••• R•••••
- R••••• F•••••••• state registered currentsince Jul 13, 2023 · Lancaster, Pa
- M••••• F•••••••• L•• independent RIAJul 1, 2019 to Aug 31, 2023 · Laramie, Wy
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 4, 2012 to Jul 11, 2019 · Lancaster, Pa
- I••••• F•••••••• C••••••••• formerSep 29, 2009 to Sep 7, 2012 · Lancaster, Pa
- C••••• A•••••• N••••••• L•• formerJul 16, 2002 to Sep 17, 2007 · East Petersburg, Pa
- F•••••••• N•••••• A••••••• I••• unclassifiedMar 4, 1997 to Dec 31, 2008 · East Petersburg, Pa
- M••••• F•••••••• L•• to R••••• F••••••••left Aug 31, 2023, registered Jul 13, 2023 (-49 days) · RIA to a state-registered adviser
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M••••• F•••••••• L••left Jul 11, 2019, registered Jul 1, 2019 (-10 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- I••••• F•••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 7, 2012, registered Sep 4, 2012 (-3 days) · Other
- F•••••••• N•••••• A••••••• I••• to C••••• A•••••• N••••••• L••left Dec 31, 2008, registered Jul 16, 2002 (-2360 days) · Other
- C••••• A•••••• N••••••• L•• to I••••• F•••••••• C•••••••••left Sep 17, 2007, registered Sep 29, 2009 (743 days) · Other
- W•••• H•••••••• R••••• left M••••• F•••••••• L•• for R••••• F•••••••• (registered 2023-07-13)Aug 31, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address