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.
G••••• D••••• F••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 1, 2021 · Malvern, Pa
- H••••• F•••••••• A•••••••• I••• formerJun 19, 2013 to Jul 8, 2021 · Malvern, Pa
- N•• E•••••• S••••••••• C••••••••• formerMar 13, 2012 to Jun 21, 2013 · Newtown Square, Pa
- L•• F•••••••• L•• BD affiliatedJun 24, 2011 to Mar 8, 2012 · Kennett Square, Pa
- C••••• I••••••••• S••••••• L•• formerJan 2, 2009 to Jun 13, 2011 · West Chester, Pa
- O•••• I••••••••• I••• BD affiliatedJul 12, 2002 to Jul 3, 2008 · Roslindale, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 1, 2000 to Jun 10, 2002 · Providence, Ri
- H••••• F•••••••• A•••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 8, 2021, registered Jul 1, 2021 (-7 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N•• E•••••• S••••••••• C••••••••• to H••••• F•••••••• A•••••••• I•••left Jun 21, 2013, registered Jun 19, 2013 (-2 days) · Other
- L•• F•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Mar 8, 2012, registered Mar 13, 2012 (5 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Jun 13, 2011, registered Jun 24, 2011 (11 days) · Other
- O•••• I••••••••• I••• to C••••• I••••••••• S••••••• L••left Jul 3, 2008, registered Jan 2, 2009 (183 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• I••••••••• I•••left Jun 10, 2002, registered Jul 12, 2002 (32 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