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••••• G••••• C•••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Apr 16, 2019 · White Oak, Pa
- G••••• F•••••••• P•••••• C••••••• I••• formerJun 25, 2013 to Apr 23, 2019 · Mckeesport, Pa
- C• W••••• M••••••••• L•• independent RIAOct 4, 2011 to Jun 21, 2013 · Schaumburg, Il
- W•••••• S••••••••• C••••••••• unclassifiedSep 16, 2010 to Sep 30, 2011 · Mckeesport, Pa
- L••••• A•••••••• L•• formerNov 14, 2007 to Aug 19, 2010 · Mckeesport, Pa
- G••••• F•••••••• P•••••• C••••••• I••• to J• W• C••• A•••••••• I•••left Apr 23, 2019, registered Apr 16, 2019 (-7 days) · corporate re-registration, not a move
- C• W••••• M••••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Jun 21, 2013, registered Jun 25, 2013 (4 days) · Other
- W•••••• S••••••••• C••••••••• to C• W••••• M••••••••• L••left Sep 30, 2011, registered Oct 4, 2011 (4 days) · Other
- L••••• A•••••••• L•• to W•••••• S••••••••• C•••••••••left Aug 19, 2010, registered Sep 16, 2010 (28 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address