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••• M•••••• J•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 12, 2020 · Mechanicsburg, Pa
- F•••• A••••• A••••••• S•••••••• I••• formerNov 24, 2014 to Nov 12, 2020 · San Diego, Ca
- E•••••••• A•••••••• L•• national BDJan 8, 2007 to Dec 5, 2014 · Harrisburg, Pa
- F•• W••••• A•••••••• I••• unclassifiedOct 25, 2001 to Jan 11, 2007 · Camp Hill, Pa
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to F•••• A••••• A••••••• S•••••••• I•••left Dec 5, 2014, registered Nov 24, 2014 (-11 days) · Other
- F•• W••••• A•••••••• I••• to E•••••••• A•••••••• L••left Jan 11, 2007, registered Jan 8, 2007 (-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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address