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.
J••••••• B••• R••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 24, 2023 · Pittsburgh, Pa
- D•••••• P•••••• W•••••• I••• independent RIAApr 8, 2019 to May 3, 2023 · Beaver, Pa
- W••••••••• C•••••• M••••••••• L•• independent RIAJan 17, 2012 to Apr 2, 2019 · Beaver Falls, Pa
- D•••••• P•••••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 3, 2023, registered Jul 24, 2023 (82 days) · RIA to affiliated broker-dealer or bank
- W••••••••• C•••••• M••••••••• L•• to D•••••• P•••••• W•••••• I•••left Apr 2, 2019, registered Apr 8, 2019 (6 days) · RIA to RIA
- J••••••• B••• R•••••••• left D•••••• P•••••• W•••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-07-24)May 3, 2023 · 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address