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••• E• W•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 18, 2018 · Wayne, Pa
- S••••• G•••• R••••••••• P•••••••• I••• mixed wealthAug 11, 2017 to Nov 30, 2018 · Wayne, Pa
- P•••••• A•••••• G••••• L•• BD affiliatedDec 19, 2014 to Jul 25, 2017 · Wayne, Pa
- W•••• F•••• A••••••• wirehouseApr 6, 2004 to Dec 19, 2014 · Radnor, Pa
- I••• S••••••••• I••• unclassifiedDec 13, 2002 to Apr 2, 2004 · Philadelphia, Pa
- S••••• G•••• R••••••••• P•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 30, 2018, registered Oct 18, 2018 (-43 days) · RIA to affiliated broker-dealer or bank
- P•••••• A•••••• G••••• L•• to S••••• G•••• R••••••••• P•••••••• I•••left Jul 25, 2017, registered Aug 11, 2017 (17 days) · Other
- W•••• F•••• A••••••• to P•••••• A•••••• G••••• L••left Dec 19, 2014, registered Dec 19, 2014 (0 days) · Other
- I••• S••••••••• I••• to W•••• F•••• A•••••••left Apr 2, 2004, registered Apr 6, 2004 (4 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