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.
H•••••• L••• S••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 25, 2020 · Vienna, Va
- O•••• F•• I••• formerAug 14, 2019 to Mar 16, 2020 · Wexford, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 17, 2007 to Aug 12, 2019 · Sewickley, Pa
- O•••• F•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 16, 2020, registered Mar 25, 2020 (9 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• F•• I•••left Aug 12, 2019, registered Aug 14, 2019 (2 days) · Wirehouse to affiliated broker-dealer or bank
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address