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.
Y••••• L••••• R•••••••••
- V•••• C••••••• I••• independent RIA currentsince Oct 4, 2019 · Stroudsburg, Pa
- N••••••••• S••••••••• L•• no RAUMMar 26, 2009 to Oct 2, 2019 · Allentown, Pa
- I••••• F•••••••• C••••••••• formerMar 31, 2008 to Mar 24, 2009 · Appleton, Wi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 11, 2007 to Apr 1, 2008 · Pittsford, Ny
- N••••••••• S••••••••• L•• to V•••• C••••••• I•••left Oct 2, 2019, registered Oct 4, 2019 (2 days) · Other · moved with a team
- I••••• F•••••••• C••••••••• to N••••••••• S••••••••• L••left Mar 24, 2009, registered Mar 26, 2009 (2 days) · Other
- T••••••• I••••••••• M••••••••• I••• to I••••• F•••••••• C•••••••••left Apr 1, 2008, registered Mar 31, 2008 (-1 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