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.
R••••• L• S••••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 23, 2023 · Allentown, Pa
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Mar 8, 2023 · Wilkes Barre, Pa
- I••••• F•••••••• C••••••••• formerMar 15, 2016 to Feb 20, 2018 · Wilkes Barre, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 22, 2010 to Mar 16, 2016 · Wilkes Barre, Pa
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Mar 8, 2023, registered Feb 23, 2023 (-13 days) · RIA to wirehouse
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 20, 2018, registered Feb 14, 2018 (-6 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••• F•••••••• C•••••••••left Mar 16, 2016, registered Mar 15, 2016 (-1 days) · Other
- R••••• L• S•••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2023-02-23)Mar 8, 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address