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.
T••••• L••• S•••
- L•• F•••••••• L•• BD affiliated currentsince May 4, 2010 · Lansdale, Pa
- C••••• I••••••••• S••••••• L•• formerJun 30, 2009 to May 5, 2010 · Spring House, Pa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 4, 2008 to Jun 22, 2009 · Blue Bell, Pa
- C••••••••• I••••••••• S•••••••• I••• unclassifiedJan 2, 2008 to Sep 8, 2008 · Broomall, Pa
- P•• W••••• M••••••••• BD affiliatedMar 18, 2005 to May 5, 2006 · Easton, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDJul 23, 2003 to Apr 5, 2005 · Allentown, Pa
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left May 5, 2010, registered May 4, 2010 (-1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••• I••••••••• S••••••• L••left Jun 22, 2009, registered Jun 30, 2009 (8 days) · Other
- C••••••••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 8, 2008, registered Sep 4, 2008 (-4 days) · Other
- P•• W••••• M••••••••• to C••••••••• I••••••••• S•••••••• I•••left May 5, 2006, registered Jan 2, 2008 (607 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Apr 5, 2005, registered Mar 18, 2005 (-18 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address