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.
F•••• A• O••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 18, 2013 · Furlong, Pa
- S••••••• I••••••••• I••• formerAug 6, 2013 to Dec 20, 2013 · Yardley, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 21, 2011 to Jul 16, 2013 · Yardley, Pa
- S••••••• I••••••••• I••• formerMay 20, 2009 to Sep 30, 2011 · Yardley, Pa
- S••••••• I••••••••• I••• to L•• F•••••••• L••left Dec 20, 2013, registered Dec 18, 2013 (-2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• I••••••••• I•••left Jul 16, 2013, registered Aug 6, 2013 (21 days) · Other
- S••••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 30, 2011, registered Oct 21, 2011 (21 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address