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••• L•• BD affiliated currentsince Feb 9, 2022 · Omaha, Ne
- I••••••••• F•••••••• G••••• L•• BD affiliatedOct 31, 2014 to Feb 7, 2022 · Perkasie, Pa
- H• B•••• I••• formerDec 6, 2002 to Oct 31, 2014 · Perkasie, Pa
- G••••••• F•••••••• P••••••• C••••••••• unclassifiedSep 12, 2001 to Dec 9, 2002 · Harleysville, Pa
- I••••••••• F•••••••• G••••• L•• to C••• L••left Feb 7, 2022, registered Feb 9, 2022 (2 days) · Affiliated broker-dealer or bank to another
- H• B•••• I••• to I••••••••• F•••••••• G••••• L••left Oct 31, 2014, registered Oct 31, 2014 (0 days) · Other
- G••••••• F•••••••• P••••••• C••••••••• to H• B•••• I•••left Dec 9, 2002, registered Dec 6, 2002 (-3 days) · Other
- S•••• K••• W•••••••• left I••••••••• F•••••••• G••••• L•• for C••• L•• (registered 2022-02-09)Feb 7, 2022 · 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
- 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