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.
R••• F• M•••••••
- C•••••• I••••••• S••••••• I•• independent RIA currentsince Mar 22, 2022 · Wyomissing, Pa
- L•• F•••••••• L•• BD affiliatedMar 23, 2011 to Mar 16, 2022 · Wyomissing, Pa
- W•••• F•••• A••••••• wirehouseMar 3, 2009 to Mar 10, 2011 · Wyomissing, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMay 21, 2008 to Jan 5, 2009 · Wyomissing, Pa
- L•• F•••••••• L•• to C•••••• I••••••• S••••••• I••left Mar 16, 2022, registered Mar 22, 2022 (6 days) · RIA to RIA
- W•••• F•••• A••••••• to L•• F•••••••• L••left Mar 10, 2011, registered Mar 23, 2011 (13 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to W•••• F•••• A•••••••left Jan 5, 2009, registered Mar 3, 2009 (57 days) · Other
- R••• F• M••••••• left L•• F•••••••• L•• for C•••••• I••••••• S••••••• I•• (registered 2022-03-22)Mar 16, 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address