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.
C•••••••• A•• P•••••••
- R•• C•••••• M••••••• L•• national BD currentsince Sep 3, 2024 · Bensalem, Pa
- W•••• F•••• A••••••• wirehouseMay 25, 2012 to Sep 4, 2024 · Philadelphia, Pa
- M••••• S•••••• wirehouseMar 27, 2012 to Jun 4, 2012 · Philadelphia, Pa
- D••••••• B••• S••••••••• I••• no RAUMJul 21, 2003 to Oct 6, 2003 · Philadelphia, Pa
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Sep 4, 2024, registered Sep 3, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 4, 2012, registered May 25, 2012 (-10 days) · Wirehouse to wirehouse
- D••••••• B••• S••••••••• I••• to M••••• S••••••left Oct 6, 2003, registered Mar 27, 2012 (3095 days) · Other
- C•••••••• A•• P••••••• left W•••• F•••• A••••••• for R•• C•••••• M••••••• L•• (registered 2024-09-03)Sep 4, 2024 · Advisor changed firm · fact
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address