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.
P••••• T••••• S•••••••••
- O•••• I••••••••• I••• BD affiliated currentsince Feb 5, 2019 · New Castle, Pa
- L•• F•••••••• L•• BD affiliatedDec 2, 2016 to Feb 11, 2019 · Butler, Pa
- C••••• A•••••• N••••••• L•• formerSep 3, 2013 to Sep 26, 2016 · Grove City, Pa
- W••••• S••••• S••••••••• I••• formerSep 24, 2010 to Sep 3, 2013 · Grove City, Pa
- L•• F•••••••• L•• to O•••• I••••••••• I•••left Feb 11, 2019, registered Feb 5, 2019 (-6 days) · RIA to affiliated broker-dealer or bank
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Sep 26, 2016, registered Dec 2, 2016 (67 days) · Other
- W••••• S••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Sep 3, 2013, registered Sep 3, 2013 (0 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address