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.
R••••• C•••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 5, 2019 · Wind Gap, Pa
- W••••••• F•••••••• S•••••••• I••• formerJan 2, 2014 to Mar 8, 2019 · Bethlehem, Pa
- W••••••• F•••••••• S•••••••• I••• formerJun 27, 2013 to Dec 20, 2013 · Bethlehem, Pa
- I••••••••• A••••••• A•••• M••••••••• L•• formerJun 10, 2004 to Sep 5, 2013 · Easton, Pa
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 8, 2019, registered Mar 5, 2019 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• A••••••• A•••• M••••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Sep 5, 2013, registered Jun 27, 2013 (-70 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address