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••••• K••• M••••
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 1, 2024 · Allentown, Pa
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Nov 5, 2024 · Allentown, Pa
- S••••••• I••••••••• I••• formerOct 24, 2014 to Nov 2, 2018 · Fogelsville, Pa
- G•••• V••••• A•••••• G••••• L•• independent RIAJan 9, 2014 to Nov 10, 2014 · Berwyn, Pa
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Nov 4, 2014 · Allentown, Pa
- M••••• S•••••• C••••••••• unclassifiedMar 2, 2007 to Sep 8, 2009 · Allentown, Pa
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 16, 2006 to Feb 23, 2007 · Breinigsville, Pa
- O•••• W•••••• I••• to C••••••••• F•••••••• N••••••left Nov 5, 2024, registered Nov 1, 2024 (-4 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- G•••• V••••• A•••••• G••••• L•• to S••••••• I••••••••• I•••left Nov 10, 2014, registered Oct 24, 2014 (-17 days) · Other
- L•• F•••••••• L•• to G•••• V••••• A•••••• G••••• L••left Nov 4, 2014, registered Jan 9, 2014 (-299 days) · Other
- M••••• S•••••• C••••••••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to M••••• S•••••• C•••••••••left Feb 23, 2007, registered Mar 2, 2007 (7 days) · Other
- A••••• K••• M•••• left O•••• W•••••• I••• for C••••••••• F•••••••• N•••••• (registered 2024-11-01)Nov 5, 2024 · a•••••• firm change · 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