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.
P••••• R•••••••• C••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 4, 2021 · New York, Ny
- W•••• F•••• A••••••• wirehouseDec 12, 2017 to Nov 9, 2020 · Radnor, Pa
- S•••••••• I••••••••• M••••••••• formerJun 2, 2017 to Dec 12, 2017 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 30, 2015 to Mar 28, 2017 · Wayne, Pa
- S•••••••• I••••••••• M••••••••• to W•••• F•••• A•••••••left Dec 12, 2017, registered Dec 12, 2017 (0 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left Mar 28, 2017, registered Jun 2, 2017 (66 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address