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.
- S••••• W••••• independent RIA currentsince Jun 28, 2019 · Englewood, Fl
- C•••••• G•••• • C• I•• formerDec 17, 2020 to Jun 17, 2021 · Johnstown, Pa
- F•••• A••••• A••••••• S•••••••• I••• formerJun 14, 2012 to Jul 2, 2019 · West Chester, Pa
- F•••• A••••• S••••••••• I••• formerJan 11, 2005 to Jul 2, 2012 · Sarasota, Fl
- A•••••• A••••••• S••••••• formerJul 10, 1998 to Jan 11, 2005 · West Chester, Pa
- C•••••• G•••• • C• I•• to no registered destinationleft Jun 17, 2021 · Departure, no registered destination
- F•••• A••••• A••••••• S•••••••• I••• to S••••• W•••••left Jul 2, 2019, registered Jun 28, 2019 (-4 days) · Affiliated broker-dealer or bank to a newly registered adviser
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jun 14, 2012 (-18 days) · corporate re-registration, not a move
- A•••••• A••••••• S••••••• to F•••• A••••• S••••••••• I•••left Jan 11, 2005, registered Jan 11, 2005 (0 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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address