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•••• W•••• B•••••
- P••••••••• B•••••••• S•••••••• I••• independent RIA currentsince Dec 19, 2016 · Green Bay, Wi
- S••••••• P•••••• F••••••••• L•• formerApr 3, 2009 to Aug 30, 2016 · Williamsburg, Pa
- E••••• J•••• national BDOct 3, 2007 to Dec 9, 2008 · Huntingdon, Pa
- S••••••• P•••••• F••••••••• L•• to P••••••••• B•••••••• S•••••••• I•••left Aug 30, 2016, registered Dec 19, 2016 (111 days) · Other
- E••••• J•••• to S••••••• P•••••• F••••••••• L••left Dec 9, 2008, registered Apr 3, 2009 (115 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address