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.
W•••••• L••••••• B•••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Mar 12, 2020 · Plymouth, Mn
- B•• I••••••••• M••••••••• I••• formerJul 7, 2009 to Mar 6, 2020 · Pittsburgh, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedMay 15, 2006 to Jul 10, 2009 · Uniontown, Pa
- B•• I••••••••• M••••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••left Mar 6, 2020, registered Mar 12, 2020 (6 days) · RIA to affiliated broker-dealer or bank · moved with a team
- J••••• M••••••••• S•••• L•• to B•• I••••••••• M••••••••• I•••left Jul 10, 2009, registered Jul 7, 2009 (-3 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address