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•••• M•••••• M••••
- M•••• F••••••••• L•• independent RIA currentsince Jan 8, 2008 · Doylestown, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 15, 2007 to Jan 10, 2008 · New York, Ny
- P•• W••••• M••••••••• BD affiliatedOct 4, 2004 to Feb 20, 2007 · King Of Prussia, Pa
- Q•••• • R•••••• I••• unclassifiedMay 10, 2004 to Jul 20, 2004 · Trevose, Pa
- H•••••• T••••••• • K•••• L•• independent RIANov 22, 2002 to Feb 18, 2003 · Horsham, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••• F••••••••• L••left Jan 10, 2008, registered Jan 8, 2008 (-2 days) · Wirehouse to independent RIA
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 20, 2007, registered Feb 15, 2007 (-5 days) · Other
- Q•••• • R•••••• I••• to P•• W••••• M•••••••••left Jul 20, 2004, registered Oct 4, 2004 (76 days) · Other
- H•••••• T••••••• • K•••• L•• to Q•••• • R•••••• I•••left Feb 18, 2003, registered May 10, 2004 (447 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address