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.
B•••• J••••• F•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 1, 2021 · Malvern, Pa
- H••••• F•••••••• A•••••••• I••• formerOct 10, 2017 to Jul 8, 2021 · Malvern, Pa
- V•••••••• F•••••••• S•••••••• I••• formerJan 12, 2010 to Sep 29, 2017 · Pottstown, Pa
- E•••••••• A•••••••• L•• national BDOct 29, 2004 to Jan 5, 2010 · Pottstown, Pa
- H••••• F•••••••• A•••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 8, 2021, registered Jul 1, 2021 (-7 days) · RIA to affiliated broker-dealer or bank · moved with a team
- V•••••••• F•••••••• S•••••••• I••• to H••••• F•••••••• A•••••••• I•••left Sep 29, 2017, registered Oct 10, 2017 (11 days) · Other · moved with a team
- E•••••••• A•••••••• L•• to V•••••••• F•••••••• S•••••••• I•••left Jan 5, 2010, registered Jan 12, 2010 (7 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