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••••• J• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 30, 2016 · Horsham, Pa
- P••••• W••••• A•••••••• L•• formerJan 6, 2012 to Sep 27, 2016 · West Chester, Pa
- H•••••• T••••••• • K•••• L•• independent RIAOct 14, 2011 to Sep 2, 2016 · Conshohocken, Pa
- C••••• A•••••• N••••••• L•• formerNov 12, 2008 to Sep 30, 2011 · Mt Laurel, Nj
- P•••••••• S••••••••• I••• BD affiliatedMay 11, 2007 to Jun 10, 2008 · Marlton, Nj
- P••••• W••••• A•••••••• L•• to L•• F•••••••• L••left Sep 27, 2016, registered Aug 30, 2016 (-28 days) · Other
- H•••••• T••••••• • K•••• L•• to P••••• W••••• A•••••••• L••left Sep 2, 2016, registered Jan 6, 2012 (-1701 days) · Other
- C••••• A•••••• N••••••• L•• to H•••••• T••••••• • K•••• L••left Sep 30, 2011, registered Oct 14, 2011 (14 days) · Other
- P•••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Jun 10, 2008, registered Nov 12, 2008 (155 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