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.
T••••• M• W•••••••
- P••• M••••• A•••• M••••••••• L•• institutional currentsince Dec 7, 2017 · Horsham, Pa
- H•••••• T••••••• • K•••• L•• independent RIANov 3, 2014 to Sep 22, 2017 · Conshohocken, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedJun 28, 2010 to Sep 10, 2014 · Philadelphia, Pa
- H•••••• T••••••• • K•••• L•• to P••• M••••• A•••• M••••••••• L••left Sep 22, 2017, registered Dec 7, 2017 (76 days) · Other · moved with a team
- J••••• M••••••••• S•••• L•• to H•••••• T••••••• • K•••• L••left Sep 10, 2014, registered Nov 3, 2014 (54 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
- Institutional managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address