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.
S•••••• P••••• E••••
- T••••• W••••• M••••••••• L•• independent RIA currentsince Oct 10, 2013 · Audubon, Pa
- U••••• C•••••• F•••••••• A••••••• independent RIADec 16, 2011 to Oct 15, 2013 · North Wales, Pa
- L••••• A•••••••• L•• independent RIAOct 29, 2008 to Sep 22, 2011 · Plymouth Meeting, Pa
- S•• I••••••••• M••••••••• C••• mixed wealthSep 21, 2007 to May 16, 2008 · Oaks, Pa
- U••••• C•••••• F•••••••• A••••••• to T••••• W••••• M••••••••• L••left Oct 15, 2013, registered Oct 10, 2013 (-5 days) · Other
- L••••• A•••••••• L•• to U••••• C•••••• F•••••••• A•••••••left Sep 22, 2011, registered Dec 16, 2011 (85 days) · Other
- S•• I••••••••• M••••••••• C••• to L••••• A•••••••• L••left May 16, 2008, registered Oct 29, 2008 (166 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address