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.
A••••• M•••••• S•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Exton, Pa
- A••••••••• W••••• P••••••• independent RIA currentsince Jul 29, 2021 · Extlon, Pa
- O•••• F•• I••• formerMar 28, 2013 to Jul 27, 2021 · Exton, Pa
- M•• F•••••••• S•••••••• I••• formerMar 26, 2010 to Apr 2, 2013 · Plymouth Meeting, Pa
- O•••• F•• I••• to A••••••••• W••••• P•••••••left Jul 27, 2021, registered Jul 29, 2021 (2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•• F•••••••• S•••••••• I••• to O•••• F•• I•••left Apr 2, 2013, registered Mar 28, 2013 (-5 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