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••••• B•••• S••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 5, 2018 · Lancaster, Pa
- S•• A•••••••• I••• formerJun 2, 2011 to Dec 31, 2017 · Lancaster, Pa
- B••••••••• L•• formerMar 23, 2009 to Jun 2, 2011 · Lancaster, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedMay 5, 2006 to Apr 1, 2009 · Lancaster, Pa
- S•• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2017, registered Jan 5, 2018 (5 days) · Other
- B••••••••• L•• to S•• A•••••••• I•••left Jun 2, 2011, registered Jun 2, 2011 (0 days) · Other
- J••••• M••••••••• S•••• L•• to B••••••••• L••left Apr 1, 2009, registered Mar 23, 2009 (-9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address