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.
L•••• D•••• A•••••••
- S•••• H•••• I••••••••• M••••••••• L•• independent RIA currentsince Sep 20, 2023 · Tunkhannock, Pa
- L•• F•••••••• L•• BD affiliatedMar 1, 2023 to Oct 2, 2023 · Sayre, Pa
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Mar 1, 2023 · Sayre, Pa
- C••••• I••••••••• S••••••• L•• formerOct 4, 2011 to Jan 21, 2014 · Sayre, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 21, 2003 to Oct 7, 2011 · Towanda, Pa
- L•• F•••••••• L•• to S•••• H•••• I••••••••• M••••••••• L••left Oct 2, 2023, registered Sep 20, 2023 (-12 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Mar 1, 2023, registered Mar 1, 2023 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to C••••• I••••••••• S••••••• L••left Oct 7, 2011, registered Oct 4, 2011 (-3 days) · Other
- L•••• D•••• A••••••• left L•• F•••••••• L•• for S•••• H•••• I••••••••• M••••••••• L•• (registered 2023-09-20)Oct 2, 2023 · Advisor changed firm · fact
- L•••• D•••• A••••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2023-03-01)Mar 1, 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address