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.
D•••• S••••• C••••
- M•••••••• F•••••••• A••••••••• L•• independent RIA currentsince Aug 4, 2025 · Macungie, Pa
- C••••••••• F•••••••• N•••••• national BDOct 4, 2011 to Jul 31, 2025 · Waltham, Ma
- H•••••• T••••••• • K•••• L•• independent RIAMay 7, 2003 to Oct 14, 2011 · Kutztown, Pa
- C••••••••• F•••••••• N•••••• to M•••••••• F•••••••• A••••••••• L••left Jul 31, 2025, registered Aug 4, 2025 (4 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- H•••••• T••••••• • K•••• L•• to C••••••••• F•••••••• N••••••left Oct 14, 2011, registered Oct 4, 2011 (-10 days) · Other
- D•••• S••••• C•••• left C••••••••• F•••••••• N•••••• for M•••••••• F•••••••• A••••••••• L•• (registered 2025-08-04)Jul 31, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address