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•••••• D••••
- V••••• F•••••••• A••••••• L•• state registered currentsince Apr 23, 2019 · Elkins Park, Pa
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to Feb 4, 2019 · Fort Washington, Pa
- N•• A•••••• S•••••••• L•• formerMay 27, 2014 to Sep 22, 2016 · Warrington, Pa
- H•••••• T••••••• • K•••• L•• independent RIAApr 22, 2004 to May 11, 2006 · Philadelphia, Pa
- K••••• A••••••• S•••••••• L•• to V••••• F•••••••• A••••••• L••left Feb 4, 2019, registered Apr 23, 2019 (78 days) · Affiliated broker-dealer or bank to a state-registered adviser
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
- H•••••• T••••••• • K•••• L•• to N•• A•••••• S•••••••• L••left May 11, 2006, registered May 27, 2014 (2938 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address