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••••••• L•• national BD currentsince Mar 31, 2025 · York, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 11, 2022 to Mar 31, 2025 · York, Pa
- S•••••••• S••••••••• BD affiliatedJan 23, 2019 to Jun 25, 2021 · Hanover, Pa
- E•••••••• A•••••••• L•• national BDJan 22, 2018 to Feb 1, 2019 · Lancaster, Pa
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Dec 21, 2017 · York, Pa
- M•• F•••••••• S•••••••• I••• formerDec 17, 2007 to Mar 25, 2017 · Philadelphia, Pa
- T••••••• I••••••••• M••••••••• I••• BD affiliatedAug 23, 2007 to Dec 3, 2007 · York, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• S••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 25, 2021, registered Mar 11, 2022 (259 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to S•••••••• S•••••••••left Feb 1, 2019, registered Jan 23, 2019 (-9 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Dec 21, 2017, registered Jan 22, 2018 (32 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- T••••••• I••••••••• M••••••••• I••• to M•• F•••••••• S•••••••• I•••left Dec 3, 2007, registered Dec 17, 2007 (14 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address