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.
D••••• L••••• A••••••
- C••••••• P••••••• independent RIA currentsince Oct 26, 2016 · Pittsburgh, Pa
- S••••• B•••• I••••••••• A•••••••• L•• formerMar 2, 2015 to Sep 16, 2016 · Pittsburgh, Pa
- C••••••• S••••••••• I••• BD affiliatedOct 6, 2014 to Mar 19, 2015 · Pittsburgh, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 1, 2008 to Oct 28, 2013 · Pittsburgh, Pa
- T• A••••••••• I••• formerApr 1, 2008 to Oct 28, 2013 · Pittsburgh, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 2004 to Jan 22, 2008 · Pennington, Nj
- S••••• B•••• I••••••••• A•••••••• L•• to C••••••• P•••••••left Sep 16, 2016, registered Oct 26, 2016 (40 days) · Other · moved with a team
- C••••••• S••••••••• I••• to S••••• B•••• I••••••••• A•••••••• L••left Mar 19, 2015, registered Mar 2, 2015 (-17 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to C••••••• S••••••••• I•••left Oct 28, 2013, registered Oct 6, 2014 (343 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 28, 2013, registered Apr 1, 2008 (-2036 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Jan 22, 2008, registered Apr 1, 2008 (70 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address