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••••• D••••••• C•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 25, 2025 · Malvern, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 6, 2021 to Feb 26, 2025 · Philadelphia, Pa
- P•• W••••• M••••••••• BD affiliatedJun 12, 2007 to Jul 15, 2021 · Philadelphia, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDDec 9, 2005 to Oct 24, 2006 · West Chester, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 26, 2025, registered Feb 25, 2025 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 15, 2021, registered Jul 6, 2021 (-9 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Oct 24, 2006, registered Jun 12, 2007 (231 days) · Other
- A••••• D••••••• C••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-25)Feb 26, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address