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.
D•••• A••• D•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · King Of Prussia, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 3, 2022 to Mar 31, 2025 · King Of Prussia, Pa
- C•••••• S••••• • C••• I••• national BDSep 16, 2020 to May 18, 2021 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMJun 17, 2019 to Jul 30, 2020 · Phoenix, Az
- L•• F•••••••• L•• BD affiliatedOct 16, 2018 to May 14, 2019 · Chandler, Az
- M••••• S•••••• wirehouseJul 26, 2018 to Oct 16, 2018 · Gilbert, Az
- V•• V•••• C•••••• M••••••••• L•• state registeredJul 17, 2017 to Jan 23, 2018 · Sun Lakes, Az
- C••••••• S••••••••• I••• BD affiliatedJun 30, 2016 to May 1, 2017 · Plymouth Meeting, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 2013 to Jul 5, 2016 · Wayne, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 18, 2021, registered May 3, 2022 (350 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left Jul 30, 2020, registered Sep 16, 2020 (48 days) · Other · moved with a team
- L•• F•••••••• L•• to U••• I••••••••• S••••••• C••••••left May 14, 2019, registered Jun 17, 2019 (34 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to L•• F•••••••• L••left Oct 16, 2018, registered Oct 16, 2018 (0 days) · Wirehouse to independent RIA
- V•• V•••• C•••••• M••••••••• L•• to M••••• S••••••left Jan 23, 2018, registered Jul 26, 2018 (184 days) · Other
- C••••••• S••••••••• I••• to V•• V•••• C•••••• M••••••••• L••left May 1, 2017, registered Jul 17, 2017 (77 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Jul 5, 2016, registered Jun 30, 2016 (-5 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address