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.
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Lititz, Pa
- A••••••• P••••••••• A•••••••• I•• formerJun 7, 2018 to Oct 11, 2024 · Holbrook, Ny
- F•••••••• A•••••••• L•• independent RIANov 24, 2011 to Aug 1, 2018 · Lancaster, Pa
- F•••••••• A•••••••• L•• independent RIANov 2, 2011 to Nov 7, 2011 · Lancaster, Pa
- E•••••••• A•••••••• L•• national BDAug 22, 2002 to Dec 7, 2011 · Lancaster, Pa
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- F•••••••• A•••••••• L•• to A••••••• P••••••••• A•••••••• I••left Aug 1, 2018, registered Jun 7, 2018 (-55 days) · RIA to RIA
- E•••••••• A•••••••• L•• to F•••••••• A•••••••• L••left Dec 7, 2011, registered Nov 2, 2011 (-35 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address