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.
D•••••• E•••••••• B••••
- E•••••••• A•••••••• L•• national BD currentsince Jan 16, 2020 · Pittsburgh, Pa
- M•• A••••••• F•••••••• M••••••••• I••• formerJun 9, 2017 to Dec 13, 2019 · Pittsburgh, Pa
- M•••• C•••••• M••••••••• I••• formerSep 11, 2015 to May 12, 2017 · Rancho Cordova, Ca
- W•••• F•••• A••••••• wirehouseApr 27, 2009 to Sep 26, 2013 · Scranton, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 18, 2008 to Dec 18, 2008 · Scranton, Pa
- M•• A••••••• F•••••••• M••••••••• I••• to E•••••••• A•••••••• L••left Dec 13, 2019, registered Jan 16, 2020 (34 days) · Affiliated broker-dealer or bank to another
- M•••• C•••••• M••••••••• I••• to M•• A••••••• F•••••••• M••••••••• I•••left May 12, 2017, registered Jun 9, 2017 (28 days) · Other
- W•••• F•••• A••••••• to M•••• C•••••• M••••••••• I•••left Sep 26, 2013, registered Sep 11, 2015 (715 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Dec 18, 2008, registered Apr 27, 2009 (130 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address