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.
A•••• M•••••• K••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince May 21, 2019 · Allentown, Pa
- P•••• S••••••••• L•• no RAUMJun 29, 2016 to May 20, 2019 · Warrington, Pa
- N•• E•••••• S••••••••• C••••••••• formerOct 8, 2010 to Oct 3, 2012 · Newtown Square, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDMay 27, 2008 to Aug 11, 2009 · Center Valley, Pa
- P•••• S••••••••• L•• to P•••••• A•••••• G••••• L••left May 20, 2019, registered May 21, 2019 (1 days) · Affiliated broker-dealer or bank to independent RIA
- N•• E•••••• S••••••••• C••••••••• to P•••• S••••••••• L••left Oct 3, 2012, registered Jun 29, 2016 (1365 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Aug 11, 2009, registered Oct 8, 2010 (423 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