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.
D•••••• J••• S••••••
- I••••••••• S••••• H•••••••• L•• independent RIA currentsince Jan 13, 2020 · King Of Prussia, Pa
- L•• F•••••••• L•• BD affiliated currentsince Oct 4, 2018 · King Of Prussia, Pa
- P•••••• A•••••• G••••• L•• BD affiliatedJun 27, 2012 to Jan 14, 2020 · King Of Prussia, Pa
- W•••• F•••• A••••••• wirehouseMar 6, 2006 to Dec 17, 2010 · Wyomissing, Pa
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Mar 6, 2006 · Gladwyne, Pa
- J••••• H•••••••• W••• L••••• L•• formerJun 3, 2003 to Jan 1, 2004 · Wayne, Pa
- P•••••• A•••••• G••••• L•• to L•• F•••••••• L••left Jan 14, 2020, registered Oct 4, 2018 (-467 days) · RIA to RIA · moved with a team
- W•••• F•••• A••••••• to P•••••• A•••••• G••••• L••left Dec 17, 2010, registered Jun 27, 2012 (558 days) · Other
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Mar 6, 2006, registered Mar 6, 2006 (0 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address