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•••••• H•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 1, 2019 · Plymouth, Mn
- W•••• G•••• formerJul 22, 2016 to Jul 2, 2019 · West Conshohocken, Pa
- V••••••• A•••••••• I••• BD affiliatedOct 4, 2010 to Jul 27, 2016 · Malvern, Pa
- W•••• G•••• to W••••• E••••••••• A••••••• S•••••••• L••left Jul 2, 2019, registered Jun 1, 2019 (-31 days) · RIA to affiliated broker-dealer or bank · moved with a team
- V••••••• A•••••••• I••• to W•••• G••••left Jul 27, 2016, registered Jul 22, 2016 (-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
- 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