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.
T•••••• N•••• D••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Jan 7, 2022 · Malvern, Pa
- H•••••• T••••••• • K•••• L•• independent RIAFeb 12, 2013 to Mar 19, 2021 · Conshohocken, Pa
- 1••• A••••••• formerMay 14, 2009 to Jan 18, 2013 · West Conshohocken, Pa
- W••• H•••••••• • C••• L•• unclassifiedNov 9, 2007 to Nov 19, 2008 · Berwyn, Pa
- H•••••• T••••••• • K•••• L•• to V••••••• A•••••••• I•••left Mar 19, 2021, registered Jan 7, 2022 (294 days) · Affiliated broker-dealer or bank to another
- 1••• A••••••• to H•••••• T••••••• • K•••• L••left Jan 18, 2013, registered Feb 12, 2013 (25 days) · Other
- W••• H•••••••• • C••• L•• to 1••• A•••••••left Nov 19, 2008, registered May 14, 2009 (176 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