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.
G•••••• H••••••• W•••••
- A•• F••••••••• L•• no RAUM currentsince Feb 15, 2023 · Bala Cynwyd, Pa
- P•• A•••••••• L•• state registered currentsince Jan 3, 2011 · Bala Cynwyd, Pa
- E•••••••• A•••••••• L•• national BD currentsince Aug 20, 2002 · Bala Cynwyd, Pa
- K••• B•••• F•••••••• P•••••••• I••• unclassifiedSep 17, 2004 to May 14, 2014 · Bala Cyn Wyd, Pa
- K••• B•••• F•••••••• P•••••••• I••• to P•• A•••••••• L••left May 14, 2014, registered Jan 3, 2011 (-1227 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address