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.
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T•••••• R••• H•••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Jan 7, 2025 · Conshohocken, Pa
- C••• L•• BD affiliatedJul 12, 2021 to Jun 6, 2023 · Downingtown, Pa
- W••••••••• A••••••• P••••••• L•• BD affiliatedMar 10, 2021 to Jul 13, 2021 · Downingtown, Pa
- H•••••• T••••••• • K•••• L•• independent RIAJul 19, 2016 to Dec 31, 2020 · Conshohocken, Pa
- M•• F•••••••• S•••••••• I••• formerJan 24, 2014 to Jul 1, 2016 · Philadelphia, Pa
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerOct 1, 2007 to Jul 16, 2008 · New Y•••, Ny
- C••• L•• to H•••••• T••••••• • K•••• L••left Jun 6, 2023, registered Jan 7, 2025 (581 days) · Affiliated broker-dealer or bank to another
- W••••••••• A••••••• P••••••• L•• to C••• L••left Jul 13, 2021, registered Jul 12, 2021 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- H•••••• T••••••• • K•••• L•• to W••••••••• A••••••• P••••••• L••left Dec 31, 2020, registered Mar 10, 2021 (69 days) · Affiliated broker-dealer or bank to independent RIA
- M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Jul 1, 2016, registered Jul 19, 2016 (18 days) · Other · moved with a team
- N•• Y••• L••• I••••••••• M••••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 16, 2008, registered Jan 24, 2014 (2018 days) · Other
- T•••••• R••• H••• left C••• L•• for H•••••• T••••••• • K•••• L•• (registered 2025-01-07)Jun 6, 2023 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address