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.
N••••••• A•••••• G••••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Oct 19, 2020 · Shamokin, Pa
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerAug 30, 2016 to Jan 2, 2018 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedMay 7, 2014 to Sep 6, 2016 · Macungie, Pa
- P•• W••••• M••••••••• BD affiliatedJan 23, 2008 to Nov 5, 2012 · Bethlehem, Pa
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 25, 2007 to Nov 9, 2007 · Lancaster, Pa
- M••••• S•••••• D• I••• unclassifiedSep 28, 2005 to Nov 9, 2006 · Allentown, Pa
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Oct 19, 2020 (-121 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to B••• I••••••••• S•••••••• I•••left Sep 6, 2016, registered Aug 30, 2016 (-7 days) · Other · moved with a team
- T••••••• I••••••••• M••••••••• I••• to P•• W••••• M•••••••••left Nov 9, 2007, registered Jan 23, 2008 (75 days) · Other
- M••••• S•••••• D• I••• to T••••••• I••••••••• M••••••••• I•••left Nov 9, 2006, registered Apr 25, 2007 (167 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address