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.
T••••• L••• H••••••
- R•••• I••••••••• A••••••• L•• BD affiliated currentsince May 8, 2019 · West Chester, Pa
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to Mar 29, 2019 · West Chester, Pa
- N•• A•••••• S•••••••• L•• formerSep 30, 2013 to Sep 22, 2016 · Malvern, Pa
- F•• S••••••••• C••••••••• formerMay 18, 2012 to Oct 2, 2013 · Westchester, Pa
- F•••••••• A••••••• G•••• L••••• independent RIAJul 13, 2011 to May 29, 2012 · Gig Harbor, Wa
- M••• W••••• M••••••••• I••• state registeredSep 7, 2010 to Sep 14, 2011 · Southlake, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 25, 2009 to Sep 3, 2010 · Exton, Pa
- M•••• C••••••• A••••••• S•••••• BD affiliatedJun 29, 2007 to Sep 3, 2009 · Palm Beach Gardens, Fl
- P•••••••• S••••••••• I••• BD affiliatedApr 11, 2005 to Jul 9, 2007 · Wilmington, De
- K••••• A••••••• S•••••••• L•• to R•••• I••••••••• A••••••• L••left Mar 29, 2019, registered May 8, 2019 (40 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
- F•• S••••••••• C••••••••• to N•• A•••••• S•••••••• L••left Oct 2, 2013, registered Sep 30, 2013 (-2 days) · Other
- F•••••••• A••••••• G•••• L••••• to F•• S••••••••• C•••••••••left May 29, 2012, registered May 18, 2012 (-11 days) · Other
- M••• W••••• M••••••••• I••• to F•••••••• A••••••• G•••• L•••••left Sep 14, 2011, registered Jul 13, 2011 (-63 days) · Other
- M•• I•••••••• S•••••••• L•• to M••• W••••• M••••••••• I•••left Sep 3, 2010, registered Sep 7, 2010 (4 days) · Other
- M•••• C••••••• A••••••• S•••••• to M•• I•••••••• S•••••••• L••left Sep 3, 2009, registered Sep 25, 2009 (22 days) · Other
- P•••••••• S••••••••• I••• to M•••• C••••••• A••••••• S••••••left Jul 9, 2007, registered Jun 29, 2007 (-10 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address