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••• L••••
- I•••••••• A•••••••• L•• BD affiliated currentsince Nov 3, 2025 · Macungie, Pa
- L••• S••••• A•••••••• L•• formerApr 21, 2022 to Nov 3, 2025 · Macungie, Pa
- M• H••••••• S••••••••• I••• BD affiliatedJan 9, 2015 to Apr 12, 2021 · Bethlehem, Pa
- D••• D•••• C••••••••• L•• state registeredApr 23, 2014 to Apr 14, 2021 · Allentown, Pa
- C••••••••• F•••••••• C••••••••• L•• unclassifiedMay 13, 2013 to Jul 14, 2016 · Allentown, Pa
- C••••••••• A••••••• A•••• M••••••••• L•• otherFeb 9, 2006 to Apr 23, 2013 · Bethlehem, Pa
- Y•• A•••• M••••••••• I••• unclassifiedSep 2, 2004 to Mar 2, 2006 · Bethlehem, Pa
- C••••••••• I••••••••• I••••••••• L•• formerAug 31, 2004 to Apr 23, 2013 · Bethlehem, Pa
- L••• S••••• A•••••••• L•• to I•••••••• A•••••••• L••left Nov 3, 2025, registered Nov 3, 2025 (0 days) · corporate re-registration, not a move
- D••• D•••• C••••••••• L•• to M• H••••••• S••••••••• I•••left Apr 14, 2021, registered Jan 9, 2015 (-2287 days) · Other
- M• H••••••• S••••••••• I••• to L••• S••••• A•••••••• L••left Apr 12, 2021, registered Apr 21, 2022 (374 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• C••••••••• L•• to D••• D•••• C••••••••• L••left Jul 14, 2016, registered Apr 23, 2014 (-813 days) · Other · moved with a team
- C••••••••• A••••••• A•••• M••••••••• L•• to C••••••••• F•••••••• C••••••••• L••left Apr 23, 2013, registered May 13, 2013 (20 days) · Other
- C••••••••• I••••••••• I••••••••• L•• to Y•• A•••• M••••••••• I•••left Apr 23, 2013, registered Sep 2, 2004 (-3155 days) · Other
- Y•• A•••• M••••••••• I••• to C••••••••• A••••••• A•••• M••••••••• L••left Mar 2, 2006, registered Feb 9, 2006 (-21 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address