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•••••• L•• B••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 21, 2021 · Washington Crossing, Pa
- U•• F•••••••• S••••••• I••• wirehouseJan 16, 2009 to Feb 18, 2021 · Newtown, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 4, 2003 to Jan 22, 2009 · Yardley, Pa
- P••••••••• E••••• G••••• L•• unclassifiedJun 5, 2002 to Apr 17, 2003 · Princeton, Nj
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Feb 18, 2021, registered Jan 21, 2021 (-28 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 22, 2009, registered Jan 16, 2009 (-6 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 17, 2003, registered Apr 4, 2003 (-13 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address