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•••••• S•••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Horsham, Pa
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 22, 2012 to Nov 29, 2017 · Bensalem, Pa
- O••••••••• S••••••••• I••• BD affiliatedJul 19, 2010 to Feb 29, 2012 · Plymouth Meeting, Pa
- C••••• A•••••• N••••••• L•• formerJun 20, 2008 to Jun 24, 2010 · King Of Prussia, Pa
- P•••••••• S••••••••• I••• BD affiliatedJan 26, 2007 to Jun 17, 2008 · Wayne, Pa
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team
- O••••••••• S••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Feb 29, 2012, registered Mar 22, 2012 (22 days) · Other
- C••••• A•••••• N••••••• L•• to O••••••••• S••••••••• I•••left Jun 24, 2010, registered Jul 19, 2010 (25 days) · Other
- P•••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Jun 17, 2008, registered Jun 20, 2008 (3 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address