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.
M•••••• F•••••• L••
- L•• F•••••••• L•• BD affiliated currentsince Mar 18, 2019 · Seven Fields, Pa
- G••• L••• A•••••••• L•• independent RIANov 12, 2014 to Mar 14, 2019 · Seven Fields, Pa
- P•••••• A•••••• G••••• L•• BD affiliatedJun 16, 2014 to Nov 24, 2014 · Seven Fields, Pa
- W•••••• • R••• formerNov 29, 2010 to Jun 19, 2014 · Pittsburgh, Pa
- G••• L••• A•••••••• L•• to L•• F•••••••• L••left Mar 14, 2019, registered Mar 18, 2019 (4 days) · RIA to RIA
- P•••••• A•••••• G••••• L•• to G••• L••• A•••••••• L••left Nov 24, 2014, registered Nov 12, 2014 (-12 days) · Other
- W•••••• • R••• to P•••••• A•••••• G••••• L••left Jun 19, 2014, registered Jun 16, 2014 (-3 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