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.
L••• J• D•••••••••
- C••• L•• BD affiliated currentsince May 6, 2019 · Omaha, Ne
- M•• A••••••• F•••••••• M••••••••• I••• formerJul 10, 2015 to Oct 18, 2019 · Wexford, Pa
- C••••••••• F•••••••• N•••••• national BDSep 16, 2011 to Jul 13, 2015 · Warren, Pa
- A•••••• I••• unclassifiedDec 9, 2005 to Mar 8, 2006 · Warren, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 24, 2005 to Sep 20, 2011 · Sewickley, Pa
- M•• A••••••• F•••••••• M••••••••• I••• to C••• L••left Oct 18, 2019, registered May 6, 2019 (-165 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••••••• F•••••••• N•••••• to M•• A••••••• F•••••••• M••••••••• I•••left Jul 13, 2015, registered Jul 10, 2015 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• I•••left Sep 20, 2011, registered Dec 9, 2005 (-2111 days) · Other
- A•••••• I••• to C••••••••• F•••••••• N••••••left Mar 8, 2006, registered Sep 16, 2011 (2018 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