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.
G••••• W•••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Lafayette Hill, Pa
- P•••• S••••••••• L•• no RAUMApr 16, 2019 to Nov 14, 2024 · Camp Hill, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 18, 2015 to Mar 12, 2019 · Wayne, Pa
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 17, 2014 to Jun 18, 2015 · Radnor, Pa
- G•• S••••••••• I••• BD affiliatedJun 7, 2007 to Nov 21, 2013 · Wayne, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDSep 4, 2003 to Sep 30, 2005 · Conshohocken, Pa
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Mar 12, 2019, registered Apr 16, 2019 (35 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 18, 2015, registered Sep 18, 2015 (92 days) · Other
- G•• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 21, 2013, registered Mar 17, 2014 (116 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to G•• S••••••••• I•••left Sep 30, 2005, registered Jun 7, 2007 (615 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