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.
A••• P•••••
- C•••••• A••••••• BD affiliated currentsince Jul 12, 2023 · Moosic, Pa
- L•••••• I••••••••• independent RIA currentsince Jul 12, 2023 · Fort Washington, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDDec 14, 2020 to May 8, 2023 · Melville, Ny
- O••••••••• • C•• I••• BD affiliatedDec 20, 2017 to Jan 4, 2019 · Stamford, Ct
- A••••••••• F•••••••• S•••••••• L•• to L•••••• I•••••••••left May 8, 2023, registered Jul 12, 2023 (65 days) · Affiliated broker-dealer or bank to independent RIA
- O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 4, 2019, registered Dec 14, 2020 (710 days) · Affiliated broker-dealer or bank to another
- A••• P••••• left A••••••••• F•••••••• S•••••••• L•• for L•••••• I••••••••• (registered 2023-07-12)May 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address