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••• I•• C•••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 31, 2022 · Wyncote, Pa
- C••••••• S••••••••• I••• BD affiliatedJan 12, 2017 to Mar 31, 2022 · Horsham, Pa
- S•••••••• S••••••••• BD affiliatedJul 17, 2014 to Dec 8, 2016 · Cherry Hill, Nj
- M•• S••••••••• I••• unclassifiedMay 18, 2012 to Jul 11, 2014 · West Chester, Pa
- C••••••• S••••••••• I••• to W•••• F•••• A•••••••left Mar 31, 2022, registered Mar 31, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S•••••••• S••••••••• to C••••••• S••••••••• I•••left Dec 8, 2016, registered Jan 12, 2017 (35 days) · Other
- M•• S••••••••• I••• to S•••••••• S•••••••••left Jul 11, 2014, registered Jul 17, 2014 (6 days) · Other
- R••• I•• C••••• left C••••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2022-03-31)Mar 31, 2022 · 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address