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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N••••• M•••••• L••
- L•• F•••••••• L•• BD affiliated currentsince Sep 23, 2024 · Douglassville, Pa
- O•••• F•• I••• formerFeb 7, 2020 to Sep 25, 2024 · Douglassville, Pa
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Feb 12, 2020 · Plymouth Meeting, Pa
- L•• F•••••••• L•• BD affiliatedMay 4, 2010 to Sep 22, 2016 · Pottstown, Pa
- C••••• I••••••••• S••••••• L•• formerMar 26, 2009 to May 5, 2010 · Spring House, Pa
- W•••• F•••• A••••••• wirehouseMay 1, 2008 to Mar 17, 2009 · Collegeville, Pa
- O•••• F•• I••• to L•• F•••••••• L••left Sep 25, 2024, registered Sep 23, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- K•• I••••••••• S••••••• L•• to O•••• F•• I•••left Feb 12, 2020, registered Feb 7, 2020 (-5 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 22, 2016, registered Sep 21, 2016 (-1 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
- W•••• F•••• A••••••• to C••••• I••••••••• S••••••• L••left Mar 17, 2009, registered Mar 26, 2009 (9 days) · Other
- N••••• M•••••• L•• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2024-09-23)Sep 25, 2024 · 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