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.
M•••• S••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 28, 2022 · Camp Hill, Pa
- P•••• S••••••••• L•• no RAUMJan 12, 2021 to Jan 26, 2022 · York, Pa
- T• A••••••••• I••• formerFeb 14, 2018 to Jan 11, 2021 · Harrisburg, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 14, 2018 to Dec 31, 2020 · Harrisburg, Pa
- S•••••••• I••••••••• M••••••••• formerFeb 24, 2017 to Feb 15, 2018 · Saint Louis, Mo
- B••• I••••••••• S•••••••• I••• formerJan 17, 2014 to Oct 7, 2016 · Charlotte, Nc
- E••••• J•••• national BDSep 22, 2009 to Jan 3, 2014 · Gettysburg, Pa
- P•••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Jan 26, 2022, registered Jan 28, 2022 (2 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to P•••• S••••••••• L••left Jan 11, 2021, registered Jan 12, 2021 (1 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 14, 2018 (-1051 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to S•••••••• I••••••••• M•••••••••left Oct 7, 2016, registered Feb 24, 2017 (140 days) · Other
- E••••• J•••• to B••• I••••••••• S•••••••• I•••left Jan 3, 2014, registered Jan 17, 2014 (14 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•••• S•••• left P•••• S••••••••• L•• for C•••••• S••••• • C••• I••• (registered 2022-01-28)Jan 26, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address