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.
S•••• R• B•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Oct 5, 2022 · Souderton, Pa
- M••••• S•••••• wirehouseSep 23, 2015 to Apr 25, 2019 · Allentown, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 8, 2010 to Sep 16, 2015 · Philadelphia, Pa
- W•••• F•••• A••••••• wirehouseMar 27, 2007 to Aug 26, 2010 · Chalfont, Pa
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Jul 3, 2006 · Yardley, Pa
- J••••• H•••••••• W••• L••••• L•• formerSep 9, 2003 to Jan 1, 2004 · Willow Grove, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDJun 26, 2003 to Jul 18, 2003 · Langhorne, Pa
- M••••• S•••••• to T••••• A••••••• S•••••••• I•••left Apr 25, 2019, registered Oct 5, 2022 (1259 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Sep 16, 2015, registered Sep 23, 2015 (7 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 26, 2010, registered Nov 8, 2010 (74 days) · Wirehouse to wirehouse
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Jul 3, 2006, registered Mar 27, 2007 (267 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to J••••• H•••••••• W••• L••••• L••left Jul 18, 2003, registered Sep 9, 2003 (53 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address