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.
G•••• A••• F••••
- T••••• A•••• M••••••••• L•• independent RIA currentsince Sep 9, 2019 · Littleton, Co
- B••••••••• W••••• A•••••••• L•• no RAUMJan 28, 2016 to Sep 11, 2019 · Allentown, Pa
- L•• F•••••••• L•• BD affiliatedDec 19, 2012 to Dec 23, 2015 · Allentown, Pa
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 14, 2011 to Dec 19, 2012 · Allentown, Pa
- W•••••••• F•••••••• G••••• I••• formerJan 7, 2009 to Feb 16, 2011 · W••••••••, Ga
- B••••••••• W••••• A•••••••• L•• to T••••• A•••• M••••••••• L••left Sep 11, 2019, registered Sep 9, 2019 (-2 days) · RIA to RIA
- L•• F•••••••• L•• to B••••••••• W••••• A•••••••• L••left Dec 23, 2015, registered Jan 28, 2016 (36 days) · Other
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Dec 19, 2012, registered Dec 19, 2012 (0 days) · Other
- W•••••••• F•••••••• G••••• I••• to C••••• I••••••••• A••••••• L••left Feb 16, 2011, registered Mar 14, 2011 (26 days) · Other
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address