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.
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C••••••••• F•••••• O•••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 21, 2022 · West Chester, Pa
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Sep 28, 2022 · Plymouth Meeting, Pa
- L•• F•••••••• L•• BD affiliatedMay 4, 2010 to Sep 21, 2016 · Coatesville, Pa
- C••••• I••••••••• S••••••• L•• formerOct 14, 2005 to May 5, 2010 · Spring House, Pa
- I••• F•••••••• S••••••• C••••••••• unclassifiedFeb 14, 2005 to Oct 14, 2005 · Collegeville, Pa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Feb 11, 2005 · Philadelphia, Pa
- Q•••• • R•••••• I••• unclassifiedSep 5, 2002 to Oct 20, 2004 · Philadelphia, Pa
- K•• I••••••••• S••••••• L•• to T••••• A••••••• S•••••••• I•••left Sep 28, 2022, registered Sep 21, 2022 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left May 5, 2010, registered May 4, 2010 (-1 days) · Other
- I••• F•••••••• S••••••• C••••••••• to C••••• I••••••••• S••••••• L••left Oct 14, 2005, registered Oct 14, 2005 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to I••• F•••••••• S••••••• C•••••••••left Feb 11, 2005, registered Feb 14, 2005 (3 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- C••••••••• F•••••• O••••••• left K•• I••••••••• S••••••• L•• for T••••• A••••••• S•••••••• I••• (registered 2022-09-21)Sep 28, 2022 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address