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.
S•••• A•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 4, 2021 · Conshohocken, Pa
- W•••• F•••• A••••••• wirehouseSep 10, 2010 to Mar 5, 2019 · Collegeville, Pa
- R•• C•••••• M••••••• L•• national BDMay 21, 2009 to Sep 16, 2010 · Conshohocken, Pa
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 5, 2019, registered Feb 4, 2021 (702 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Sep 16, 2010, registered Sep 10, 2010 (-6 days) · Affiliated broker-dealer or bank to wirehouse
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address