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.
R•••••• L••••••
- L••• W••••• S•••••••• state registered currentsince Apr 7, 2015 · Norristown, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2012 to Sep 16, 2013 · Media, Pa
- S•• I••••••••• M••••••••• C••• mixed wealthAug 29, 2007 to Nov 20, 2012 · Oaks, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••• W••••• S••••••••left Sep 16, 2013, registered Apr 7, 2015 (568 days) · Wirehouse to a state-registered adviser
- S•• I••••••••• M••••••••• C••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 20, 2012, registered Dec 10, 2012 (20 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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address