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.
M•••••• A•••••• F•••
- T••••• W••••• M••••••••• L•• independent RIA currentsince Apr 1, 2019 · Audubon, Pa
- U••••• C•••••• F•••••••• A••••••• independent RIAJul 2, 2014 to Mar 14, 2019 · North Wales, Pa
- S•• I••••••••• M••••••••• C••• mixed wealthJan 10, 2011 to Jun 17, 2014 · Oaks, Pa
- W•••••• • R••• formerJul 30, 2002 to Oct 9, 2003 · Allentown, Pa
- U••••• C•••••• F•••••••• A••••••• to T••••• W••••• M••••••••• L••left Mar 14, 2019, registered Apr 1, 2019 (18 days) · RIA to RIA
- S•• I••••••••• M••••••••• C••• to U••••• C•••••• F•••••••• A•••••••left Jun 17, 2014, registered Jul 2, 2014 (15 days) · Other
- W•••••• • R••• to S•• I••••••••• M••••••••• C•••left Oct 9, 2003, registered Jan 10, 2011 (2650 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address