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.
M•••••• J••• H•••••
- O••• W••••• N•••••• state registered currentsince Jan 2, 2019 · Pottstown, Pa
- O•••• W•••••• I••• BD affiliatedDec 9, 2016 to Dec 18, 2018 · Scottsdale, Az
- R••••••••• A••••••• S••••••• C••• formerJan 15, 2015 to Oct 31, 2017 · Fort Washington, Pa
- M••• L••• F•••••••• A•••••••• L••• formerMar 15, 2010 to Jan 6, 2015
- F•• S••••••••• C••••••••• formerMar 10, 2010 to Dec 16, 2014 · Malvern, Pa
- S••••••• F•••••••• A•••••••• L•• formerSep 9, 2008 to Apr 1, 2010 · Wyomissing, Pa
- S•• I••••••••• M••••••••• C••• mixed wealthMay 25, 2007 to Apr 23, 2008 · Oaks, Pa
- O•••• W•••••• I••• to O••• W••••• N••••••left Dec 18, 2018, registered Jan 2, 2019 (15 days) · Affiliated broker-dealer or bank to a state-registered adviser
- R••••••••• A••••••• S••••••• C••• to O•••• W•••••• I•••left Oct 31, 2017, registered Dec 9, 2016 (-326 days) · Other · moved with a team
- M••• L••• F•••••••• A•••••••• L••• to R••••••••• A••••••• S••••••• C•••left Jan 6, 2015, registered Jan 15, 2015 (9 days) · Other
- F•• S••••••••• C••••••••• to M••• L••• F•••••••• A•••••••• L•••left Dec 16, 2014, registered Mar 15, 2010 (-1737 days) · Other
- S••••••• F•••••••• A•••••••• L•• to F•• S••••••••• C•••••••••left Apr 1, 2010, registered Mar 10, 2010 (-22 days) · Other
- S•• I••••••••• M••••••••• C••• to S••••••• F•••••••• A•••••••• L••left Apr 23, 2008, registered Sep 9, 2008 (139 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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address