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.
D••• A••• E••••••
- W••••••• S••••••••• I••• BD affiliated currentsince Jan 10, 2022 · Wheeling, Wv
- L•• F•••••••• L•• BD affiliatedOct 4, 2017 to Apr 5, 2018 · Bridgeville, Pa
- N•••••••• A•••••••• I••• formerOct 31, 2011 to Mar 21, 2017 · Bridgeville, Pa
- O•• F•••••••• formerOct 15, 2008 to Nov 1, 2011 · Concord, Ca
- L•• F•••••••• L•• to W••••••• S••••••••• I•••left Apr 5, 2018, registered Jan 10, 2022 (1376 days) · RIA to affiliated broker-dealer or bank
- N•••••••• A•••••••• I••• to L•• F•••••••• L••left Mar 21, 2017, registered Oct 4, 2017 (197 days) · Other
- O•• F•••••••• to N•••••••• A•••••••• I•••left Nov 1, 2011, registered Oct 31, 2011 (-1 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