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.
T••••• M• M•••••
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Oct 4, 2019 · Conshohocken, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDJul 18, 2018 to Aug 1, 2019 · Fort Washington, Pa
- P••••• I••••••••• M••••••••• L•• asset managerJun 1, 2015 to Mar 5, 2018 · Andover, Ma
- D••••••• C•••••• M••••••••• A•••••••• I•• formerJan 5, 2010 to May 12, 2015 · Philadelphia, Pa
- L•••••• F•••••••• D••••••••• I••• unclassifiedOct 27, 2009 to Dec 31, 2009 · Radnor, Pa
- L•••••• F•••••••• D••••••••• I••• unclassifiedNov 6, 2008 to May 11, 2009 · Radnor, Pa
- A••••••••• F•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Aug 1, 2019, registered Oct 4, 2019 (64 days) · Affiliated broker-dealer or bank to another
- P••••• I••••••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 5, 2018, registered Jul 18, 2018 (135 days) · Other
- D••••••• C•••••• M••••••••• A•••••••• I•• to P••••• I••••••••• M••••••••• L••left May 12, 2015, registered Jun 1, 2015 (20 days) · Other
- L•••••• F•••••••• D••••••••• I••• to D••••••• C•••••• M••••••••• A•••••••• I••left Dec 31, 2009, registered Jan 5, 2010 (5 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address