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.
B•• H•••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Philadelphia, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDFeb 1, 2011 to Jul 13, 2018 · Philadelphia, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDAug 25, 2010 to Jan 7, 2011 · Conshohocken, Pa
- N•• E•••••• S••••••••• C••••••••• formerMar 5, 2009 to Nov 10, 2009 · Newtown Square, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDJun 3, 2005 to Mar 7, 2008 · W. Conshohocken, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••left Jan 7, 2011, registered Feb 1, 2011 (25 days) · Affiliated broker-dealer or bank to another
- N•• E•••••• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 10, 2009, registered Aug 25, 2010 (288 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Mar 7, 2008, registered Mar 5, 2009 (363 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address