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.
F•••••• A•••••• C••••••
- G•••••••• W••••• P••••••• BD affiliated currentsince Sep 3, 2021 · Blue Bell, Pa
- M••••• S•••••• wirehouseApr 5, 2013 to Sep 22, 2021 · Blue Bell, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 4, 2002 to Apr 8, 2013 · Elkins Park, Pa
- M••••• S•••••• to G•••••••• W••••• P•••••••left Sep 22, 2021, registered Sep 3, 2021 (-19 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 8, 2013, registered Apr 5, 2013 (-3 days) · Wirehouse to wirehouse
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