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•••••••• L••• C••••
- P•• W••••• M••••••••• BD affiliated currentsince Feb 24, 2016 · Somerset, Pa
- O•••• I••••••••• I••• BD affiliatedOct 14, 2015 to Feb 2, 2016 · Johnstown, Pa
- E•••• N••••••• S••••••••• I••• formerJun 7, 2010 to Oct 16, 2015 · Jennerstown, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 12, 2008 to Jun 2, 2010 · Northern Cambria, Pa
- O•••• I••••••••• I••• to P•• W••••• M•••••••••left Feb 2, 2016, registered Feb 24, 2016 (22 days) · Other
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Oct 16, 2015, registered Oct 14, 2015 (-2 days) · Other · moved with a team
- U•••• F•••••••• S••••••• G••••• I••• to E•••• N••••••• S••••••••• I•••left Jun 2, 2010, registered Jun 7, 2010 (5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address