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.
M•••••• R• L••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 15, 2010 · Wyomissing, Pa
- S••••••• F•••••••• A•••••••• L•• formerJan 3, 2007 to Nov 3, 2008 · Wyomissing, Pa
- G••••• W••••• M••••••••• I••• BD affiliatedMay 2, 2006 to Dec 31, 2006 · Englewood, Co
- R•• P•••••• W••••• independent RIAFeb 28, 2006 to Jun 26, 2006 · Lancaster, Pa
- S••••••• F•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 3, 2008, registered Jun 15, 2010 (589 days) · Other
- G••••• W••••• M••••••••• I••• to S••••••• F•••••••• A•••••••• L••left Dec 31, 2006, registered Jan 3, 2007 (3 days) · Other
- R•• P•••••• W••••• to G••••• W••••• M••••••••• I•••left Jun 26, 2006, registered May 2, 2006 (-55 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address