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.
R••••• J••••• S•••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Mar 4, 2020 · Plymouth, Mn
- B•• I••••••••• M••••••••• I••• formerMay 20, 2004 to Mar 6, 2020 · Pittsburgh, Pa
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Apr 15, 2004 · Pittsburgh, Pa
- J••••• H•••••••• W••• L••••• L•• formerOct 14, 2003 to Jan 1, 2004 · Pittsburgh, Pa
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedMar 21, 2001 to Mar 7, 2005 · Pittsburgh, Pa
- B•• I••••••••• M••••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••left Mar 6, 2020, registered Mar 4, 2020 (-2 days) · RIA to affiliated broker-dealer or bank · moved with a team
- G•••••• S•••• W••••• S•••••••• L••• to J••••• H•••••••• W••• L••••• L••left Mar 7, 2005, registered Oct 14, 2003 (-510 days) · Other
- P•• W••••• M••••••••• to B•• I••••••••• M••••••••• I•••left Apr 15, 2004, registered May 20, 2004 (35 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
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