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•••••• J••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 5, 2022 · Canonsburg, Pa
- N•••••• A••••••• BD affiliatedNov 1, 2021 to Dec 5, 2022 · New Orleans, La
- M•• A••••••• F•••••••• M••••••••• I••• formerNov 13, 2015 to Nov 1, 2021 · Mcmurray, Pa
- H• F•••••••• M••••••••• independent RIAFeb 24, 2009 to Mar 11, 2009 · Canonsburg, Pa
- C••••• A••••••• L•• formerJul 3, 2008 to Nov 18, 2015 · Greenwood Village, Co
- A••••••••• F•••••••• S•••••••• L•• national BDSep 16, 2005 to Jul 8, 2008 · Sewickley, Pa
- N•••••• A••••••• to L•• F•••••••• L••left Dec 5, 2022, registered Dec 5, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- M•• A••••••• F•••••••• M••••••••• I••• to N•••••• A•••••••left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to H• F•••••••• M•••••••••left Nov 18, 2015, registered Feb 24, 2009 (-2458 days) · Other
- H• F•••••••• M••••••••• to M•• A••••••• F•••••••• M••••••••• I•••left Mar 11, 2009, registered Nov 13, 2015 (2438 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••••• A••••••• L••left Jul 8, 2008, registered Jul 3, 2008 (-5 days) · Other
- M•••••• J••• S•••• left N•••••• A••••••• for L•• F•••••••• L•• (registered 2022-12-05)Dec 5, 2022 · Advisor changed firm · fact
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