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.
K•••• R• F•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 11, 2014 · Monroeville, Pa
- L•• F•••••••• L•• BD affiliatedAug 20, 2012 to Feb 12, 2014 · Monroeville, Pa
- C••••••• S••••••••• I••• BD affiliatedAug 10, 2010 to Aug 21, 2012 · North Huntingdon, Pa
- E•••• N••••••• S••••••••• I••• formerJun 7, 2010 to Aug 5, 2010 · Johnstown, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 30, 2009 to Jun 2, 2010 · Johnstown, Pa
- N•••••• I••••••••• I••• unclassifiedApr 1, 2009 to Apr 15, 2009 · Latrobe, Pa
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Feb 12, 2014, registered Feb 11, 2014 (-1 days) · Other
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Aug 21, 2012, registered Aug 20, 2012 (-1 days) · Other
- E•••• N••••••• S••••••••• I••• to C••••••• S••••••••• I•••left Aug 5, 2010, registered Aug 10, 2010 (5 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to E•••• N••••••• S••••••••• I•••left Jun 2, 2010, registered Jun 7, 2010 (5 days) · Other
- N•••••• I••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Apr 15, 2009, registered Apr 30, 2009 (15 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address