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.
S•••••• A•••••• L•••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Mar 4, 2021 · Orwigsburg, Pa
- W•••• F•••• A••••••• wirehouseJun 30, 2011 to Mar 11, 2021 · Frackville, Pa
- C••••• I••••••••• S••••••• L•• formerMay 22, 2009 to Jun 30, 2011 · Pottsville, Pa
- W•••••• • R••• formerSep 22, 2006 to May 28, 2009 · Myerstown, Pa
- W•••• F•••• A••••••• to P•••••• A•••••• G••••• L••left Mar 11, 2021, registered Mar 4, 2021 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Jun 30, 2011, registered Jun 30, 2011 (0 days) · Other
- W•••••• • R••• to C••••• I••••••••• S••••••• L••left May 28, 2009, registered May 22, 2009 (-6 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