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.
N••••• L•• G•••••
- W•••• F•••• A••••••• wirehouse currentsince May 23, 2024 · Canonsburg, Pa
- P•• W••••• M••••••••• BD affiliatedAug 21, 2012 to May 24, 2024 · Moon Township, Pa
- C••••••••• F•••••••• N•••••• national BDSep 15, 2011 to Jul 6, 2012 · Pittsburgh, Pa
- E••••• J•••• national BDAug 5, 2008 to May 27, 2010 · St Louis, Mo
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left May 24, 2024, registered May 23, 2024 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••••• F•••••••• N•••••• to P•• W••••• M•••••••••left Jul 6, 2012, registered Aug 21, 2012 (46 days) · Other
- E••••• J•••• to C••••••••• F•••••••• N••••••left May 27, 2010, registered Sep 15, 2011 (476 days) · Affiliated broker-dealer or bank to another
- N••••• L•• G••••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2024-05-23)May 24, 2024 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address