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••• A•• M•••• S•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Bradenton, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 14, 2022 to Mar 31, 2025 · Bradenton, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 31, 2020 to Sep 26, 2022 · Lakewood Ranch, Fl
- S•••••••• S••••••••• BD affiliatedJan 16, 2018 to Feb 3, 2020 · Harrisburg, Pa
- C••••••• S••••••••• I••• BD affiliatedJun 11, 2012 to Jan 4, 2018 · Harrisburg, Pa
- P•• W••••• M••••••••• BD affiliatedJun 24, 2008 to May 21, 2012 · Hanover, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 26, 2022, registered Nov 14, 2022 (49 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 3, 2020, registered Jan 31, 2020 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••• S••••••••• I••• to S•••••••• S•••••••••left Jan 4, 2018, registered Jan 16, 2018 (12 days) · Other
- P•• W••••• M••••••••• to C••••••• S••••••••• I•••left May 21, 2012, registered Jun 11, 2012 (21 days) · Other
- L••• A•• M•••• S••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-11-14)Sep 26, 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address