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.
E••• S•••••• P•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 6, 2021 · Lemoyne, Pa
- O•••• F•• I••• formerJun 30, 2021 to Jul 30, 2021 · Harrisburg, Pa
- C••• B•••••••• S•••••••• I••• formerSep 30, 2009 to May 3, 2021 · Lancaster, Pa
- O•••• F•• I••• to C••••• I••••••••• A••••••• L••left Jul 30, 2021, registered Aug 6, 2021 (7 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to O•••• F•• I•••left May 3, 2021, registered Jun 30, 2021 (58 days) · Affiliated broker-dealer or bank to another
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