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.
M•••••• P• L•••••
- L••••• W••••• S••••••••• state registered currentsince Nov 17, 2021 · Bethany Beach, De
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAOct 30, 2019 to Dec 15, 2021 · Bethany Beach, De
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 7, 2012 to Nov 6, 2019 · Millville, De
- O•••• W•••••• I••• BD affiliatedApr 29, 2011 to Feb 9, 2012 · King Of Prussia, Pa
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to L••••• W••••• S•••••••••left Dec 15, 2021, registered Nov 17, 2021 (-28 days) · RIA to a state-registered adviser
- C•••••••• I••••••••• R••••••• A•••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Nov 6, 2019, registered Oct 30, 2019 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• W•••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 9, 2012, registered Feb 7, 2012 (-2 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address