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.
P•••••• S•••••• M•••••
- C••••••• S••••••••• I••• BD affiliated currentsince May 13, 2021 · Conshohocken, Pa
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 21, 2018 to May 17, 2021 · Wyomissing, Pa
- P•• W••••• M••••••••• BD affiliatedFeb 15, 2018 to Oct 18, 2018 · Philadelphia, Pa
- K•• I••••••••• S••••••• L•• BD affiliatedSep 5, 2017 to Feb 5, 2018 · Plymouth Meeting, Pa
- S•••••••• S••••••••• BD affiliatedSep 8, 2015 to Aug 22, 2017 · Shillington, Pa
- C••••••• S••••••••• I••• BD affiliatedMay 23, 2011 to Aug 13, 2015 · Exton, Pa
- L•• F•••••••• L•• BD affiliatedJun 17, 2009 to May 13, 2011 · Philadelphia, Pa
- W•••• F•••• A••••••• wirehouseAug 29, 2008 to Jun 17, 2009 · Radnor, Pa
- W•••• F•••• A••••••• wirehouseSep 8, 2004 to Sep 7, 2006 · Charlotte, Nc
- C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••left May 17, 2021, registered May 13, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to C••••• I••••••••• A••••••• L••left Oct 18, 2018, registered Oct 21, 2018 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- K•• I••••••••• S••••••• L•• to P•• W••••• M•••••••••left Feb 5, 2018, registered Feb 15, 2018 (10 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to K•• I••••••••• S••••••• L••left Aug 22, 2017, registered Sep 5, 2017 (14 days) · Other · moved with a team
- C••••••• S••••••••• I••• to S•••••••• S•••••••••left Aug 13, 2015, registered Sep 8, 2015 (26 days) · Other
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left May 13, 2011, registered May 23, 2011 (10 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 17, 2009, registered Jun 17, 2009 (0 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