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.
S••• M•••••• S•••••
- E•••••••• A•••••••• L•• national BD currentsince Feb 2, 2023 · Bala Cynwyd, Pa
- P••• I••••••••• A•••••••• I••• formerFeb 2, 2015 to Jul 5, 2023 · Bala Cynwyd, Pa
- L••••••• C•••••• M••••••••• L•• formerNov 15, 2010 to Mar 30, 2016 · Wilmington, De
- P••• I••••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Jul 5, 2023, registered Feb 2, 2023 (-153 days) · channel change inside one enterprise, not a move
- L••••••• C•••••• M••••••••• L•• to P••• I••••••••• A•••••••• I•••left Mar 30, 2016, registered Feb 2, 2015 (-422 days) · Other · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address