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•••• Z•••••
- P•• W••••• M••••••••• BD affiliated currentsince Jan 16, 2024 · Moon Township, Pa
- F••• P••• C•••••• G••••• L•• formerOct 15, 2020 to Sep 7, 2023 · P•••Sburgh, Pa
- T• A••••••••• I••• formerFeb 27, 2018 to Nov 27, 2018 · Wexford, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Nov 27, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 25, 2017 to Feb 26, 2018 · Saint Louis, Mo
- T• A••••••••• I••• formerJan 13, 2012 to Jul 2, 2015 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 13, 2012 to Oct 16, 2014 · F••• Worth, Tx
- S•••••••• A••••••• L•• national BDSep 27, 2007 to Oct 28, 2011 · Roseville, Ca
- F••• P••• C•••••• G••••• L•• to P•• W••••• M•••••••••left Sep 7, 2023, registered Jan 16, 2024 (131 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to F••• P••• C•••••• G••••• L••left Nov 27, 2018, registered Oct 15, 2020 (688 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Nov 27, 2018, registered Feb 27, 2018 (-273 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to S•••••••• I••••••••• M•••••••••left Jul 2, 2015, registered Jan 25, 2017 (573 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 16, 2014, registered Jan 13, 2012 (-1007 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Oct 28, 2011, registered Jan 13, 2012 (77 days) · Other
- D•••• Z••••• left F••• P••• C•••••• G••••• L•• for P•• W••••• M••••••••• (registered 2024-01-16)Sep 7, 2023 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address