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.
P••• V••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Boyertown, Pa
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJul 13, 2016 to Jan 2, 2018 · Charlotte, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jul 12, 2016 · Pottstown, Pa
- C••••• I••••••••• S••••••• L•• formerMay 17, 2012 to Jan 21, 2014 · Allentown, Pa
- P••• A••••• S••••••••• L•• BD affiliatedOct 19, 2007 to Jul 23, 2010 · Pottstown, Pa
- C••• B•••••••• S•••••••• I••• formerJan 5, 2006 to Oct 9, 2006 · Pottstown, Pa
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to B••• I••••••••• S•••••••• I•••left Jul 12, 2016, registered Jul 13, 2016 (1 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to C••••• I••••••••• S••••••• L••left Jul 23, 2010, registered May 17, 2012 (664 days) · Other
- C••• B•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Oct 9, 2006, registered Oct 19, 2007 (375 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address