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••• L•••• P•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 17, 2025 · Bradford, Pa
- O•••• W•••••• I••• BD affiliatedOct 23, 2024 to Nov 20, 2025 · Erie, Pa
- L•• F•••••••• L•• BD affiliatedOct 4, 2017 to Sep 24, 2024 · Meadville, Pa
- N•••••••• A•••••••• I••• formerOct 31, 2011 to Dec 31, 2018 · Meadville, Pa
- O•• F•••••••• formerJan 27, 2011 to Nov 1, 2011 · Concord, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jan 21, 2011 · Meadville, Pa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 17, 2006 to Jan 2, 2009 · Meadville, Pa
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 20, 2025, registered Nov 17, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to O•••• W•••••• I•••left Sep 24, 2024, registered Oct 23, 2024 (29 days) · Affiliated broker-dealer or bank to another
- N•••••••• A•••••••• I••• to L•• F•••••••• L••left Dec 31, 2018, registered Oct 4, 2017 (-453 days) · Other · moved with a team
- O•• F•••••••• to N•••••••• A•••••••• I•••left Nov 1, 2011, registered Oct 31, 2011 (-1 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to O•• F••••••••left Jan 21, 2011, registered Jan 27, 2011 (6 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- T••• L•••• P••• left O•••• W•••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-11-17)Nov 20, 2025 · Advisor changed firm · fact
- T••• L•••• P••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2024-10-23)Sep 24, 2024 · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address