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•••• A••••• B•••••
- V••••••• A•••••••• I••• BD affiliated currentsince Aug 26, 2022 · Malvern, Pa
- W•••• F•••• A••••••• wirehouseJan 7, 2011 to Jun 30, 2022 · Blue Bell, Pa
- P•• W••••• M••••••••• BD affiliatedApr 2, 2007 to Nov 16, 2010 · Warminster, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDOct 4, 2006 to Dec 20, 2006 · Winston Salem, Nc
- W•••• F•••• A••••••• to V••••••• A•••••••• I•••left Jun 30, 2022, registered Aug 26, 2022 (57 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Nov 16, 2010, registered Jan 7, 2011 (52 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Dec 20, 2006, registered Apr 2, 2007 (103 days) · Other
- D•••• A••••• B••••• left W•••• F•••• A••••••• for V••••••• A•••••••• I••• (registered 2022-08-26)Jun 30, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address