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.
J••••• D•••• W•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 1, 2023 · Berwyn, Pa
- 1••• A••••••• formerAug 22, 2019 to Feb 6, 2023 · West Conshohocken, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 14, 2001 to Feb 21, 2019 · New York, Ny
- 1••• A••••••• to L•• F•••••••• L••left Feb 6, 2023, registered Feb 1, 2023 (-5 days) · RIA to RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to 1••• A•••••••left Feb 21, 2019, registered Aug 22, 2019 (182 days) · Wirehouse to independent RIA
- J••••• D•••• W••••••• left 1••• A••••••• for L•• F•••••••• L•• (registered 2023-02-01)Feb 6, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address