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•••••••• M•••• L••••• G•••
- V••••••• A•••••••• I••• BD affiliated currentsince May 8, 2017 · Malvern, Pa
- H••••••• C•••••• A•••••••• L•• formerDec 7, 2012 to May 1, 2017 · Wayne, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 24, 2011 to Oct 16, 2012 · Princeton, Nj
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 5, 2011 to Jun 22, 2011 · Philadelphia, Pa
- H••••••• C•••••• A•••••••• L•• to V••••••• A•••••••• I•••left May 1, 2017, registered May 8, 2017 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••••••• C•••••• A•••••••• L••left Oct 16, 2012, registered Dec 7, 2012 (52 days) · Other
- V••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 22, 2011, registered Jun 24, 2011 (2 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address