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••••• M•••••• O•••••••
- G•••• V••••• A•••••• G••••• L•• independent RIA currentsince Oct 3, 2014 · Doylestown, Pa
- P•••• S••••••••• L•• no RAUMOct 3, 2012 to Dec 19, 2013 · Warrington, Pa
- L•• F•••••••• L•• BD affiliatedAug 21, 2009 to Aug 7, 2012 · Dresher, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 2, 2008 to Sep 2, 2008 · Doylestown, Pa
- P•••• S••••••••• L•• to G•••• V••••• A•••••• G••••• L••left Dec 19, 2013, registered Oct 3, 2014 (288 days) · Other
- L•• F•••••••• L•• to P•••• S••••••••• L••left Aug 7, 2012, registered Oct 3, 2012 (57 days) · Other
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Sep 2, 2008, registered Aug 21, 2009 (353 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