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.
C•••••• B• M•••••
- V•••• C••••••• L•• mixed wealth currentsince Oct 3, 2018 · West Chester, Pa
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2014 to Oct 10, 2018 · Wilmington, De
- S••••••• F•••••••• S•••••••• I••• formerMar 6, 2012 to Oct 4, 2012 · West Chester, Pa
- C•••••••• I••••••••• R••••••• A•••••••• I••• to V•••• C••••••• L••left Oct 10, 2018, registered Oct 3, 2018 (-7 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- S••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 4, 2012, registered Mar 28, 2014 (540 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address