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.
R••••• V•••••• P•••••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Glen Mills, Pa
- A••••••• P••••••••• A•••••••• I•• formerMay 1, 2020 to Oct 11, 2024 · Holbrook, Ny
- P•• B•••••••• L•• unclassifiedDec 14, 2018 to Dec 31, 2020 · Southampton, Pa
- B•• S••••••••• I••• independent RIASep 8, 2014 to May 8, 2020 · Cherry Hill, Nj
- P•• W••••• M••••••••• BD affiliatedJan 30, 2014 to Sep 5, 2014 · Philadelphia, Pa
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 2, 2009 to Feb 4, 2014 · Philadelphia, Pa
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- P•• B•••••••• L•• to A••••••• P••••••••• A•••••••• I••left Dec 31, 2020, registered May 1, 2020 (-244 days) · Other · moved with a team
- B•• S••••••••• I••• to P•• B•••••••• L••left May 8, 2020, registered Dec 14, 2018 (-511 days) · Other · moved with a team
- P•• W••••• M••••••••• to B•• S••••••••• I•••left Sep 5, 2014, registered Sep 8, 2014 (3 days) · Other
- V••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••left Feb 4, 2014, registered Jan 30, 2014 (-5 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