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•••• M•••••• M•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Sep 26, 2023 · Philadelphia, Pa
- C••••••• institutionalMar 28, 2022 to Sep 20, 2023 · Harleysville, Pa
- G••••• A••••••• S•••••••• L•• independent RIAJan 18, 2018 to Jan 21, 2022 · Souderton, Pa
- C••••••• to A••••• A•• P••••••• S•••••••left Sep 20, 2023, registered Sep 26, 2023 (6 days) · Other
- G••••• A••••••• S•••••••• L•• to C•••••••left Jan 21, 2022, registered Mar 28, 2022 (66 days) · Other
- S•••• M•••••• M••••••• left Captrust for A••••• A•• P••••••• S••••••• (registered 2023-09-26)Sep 20, 2023 · Advisor changed firm · fact
- S•••• M•••••• M••••••• left G••••• A••••••• S•••••••• L•• for Captrust (registered 2022-03-28)Jan 21, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address