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•••••• M•••••••
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Apr 11, 2024 · Jefferson Hills, Pa
- P•••• S••••••••• L•• no RAUMAug 28, 2023 to Mar 26, 2024 · Canonsburg, Pa
- R•• C•••••• M••••••• L•• national BDSep 4, 2020 to Jul 11, 2023 · Minneapolis, Mn
- P•••• S••••••••• L•• to H••••••••• F•••••••• A•••••••left Mar 26, 2024, registered Apr 11, 2024 (16 days) · Affiliated broker-dealer or bank to another
- R•• C•••••• M••••••• L•• to P•••• S••••••••• L••left Jul 11, 2023, registered Aug 28, 2023 (48 days) · Affiliated broker-dealer or bank to another
- R•••••• M••••••• left P•••• S••••••••• L•• for H••••••••• F•••••••• A••••••• (registered 2024-04-11)Mar 26, 2024 · Advisor changed firm · fact
- R•••••• M••••••• left R•• C•••••• M••••••• L•• for P•••• S••••••••• L•• (registered 2023-08-28)Jul 11, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address