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•••••• R••••• S••••••
- S•••••••• A••••••• L•• national BD currentsince Aug 29, 2025 · Newtown Square, Pa
- E•••••• A••••••• G••••• L•• BD affiliatedAug 14, 2023 to Mar 27, 2025 · Greenwood Village, Co
- E•••••• C•••••• M••••••••• L•• formerOct 9, 2015 to Aug 2, 2023 · King Of Prussia, Pa
- S•••••••• A••••••• L•• national BDOct 5, 2011 to Sep 23, 2015 · Warrington, Pa
- L•• F•••••••• L•• BD affiliatedSep 1, 2010 to Sep 21, 2011 · Fort Mill, Sc
- S••••••• F•••••••• S•••••••• I••• formerApr 13, 2009 to Aug 20, 2010 · West Chester, Pa
- E•••••• A••••••• G••••• L•• to S•••••••• A••••••• L••left Mar 27, 2025, registered Aug 29, 2025 (155 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to E•••••• A••••••• G••••• L••left Aug 2, 2023, registered Aug 14, 2023 (12 days) · RIA to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••left Sep 23, 2015, registered Oct 9, 2015 (16 days) · Other
- L•• F•••••••• L•• to S•••••••• A••••••• L••left Sep 21, 2011, registered Oct 5, 2011 (14 days) · Other
- S••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Aug 20, 2010, registered Sep 1, 2010 (12 days) · Other
- A•••••• R••••• S•••••• left E•••••• A••••••• G••••• L•• for S•••••••• A••••••• L•• (registered 2025-08-29)Mar 27, 2025 · Advisor changed firm · fact
- A•••••• R••••• S•••••• left E•••••• C•••••• M••••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2023-08-14)Aug 2, 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address