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.
B•••••• B••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 15, 2015 · Fort Mill, Sc
- W•••• F•••• A••••••• wirehouseNov 5, 2013 to Jan 13, 2015 · Doylestown, Pa
- M••••• S•••••• wirehouseAug 8, 2011 to Oct 28, 2013 · West Conshohocken, Pa
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 13, 2015, registered Jan 15, 2015 (2 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Oct 28, 2013, registered Nov 5, 2013 (8 days) · Wirehouse to wirehouse
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address