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••••• G• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 28, 2024 · Ephrata, Pa
- O•••• F•• I••• formerJan 9, 2017 to Jul 3, 2024 · Ephrata, Pa
- A•••••• A••••••• S••••••• formerMar 30, 2011 to Jan 20, 2017 · Lititz, Pa
- O•••• F•• I••• to L•• F•••••••• L••left Jul 3, 2024, registered Jun 28, 2024 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- A•••••• A••••••• S••••••• to O•••• F•• I•••left Jan 20, 2017, registered Jan 9, 2017 (-11 days) · Other
- M••••• G• M••••• left O•••• F•• I••• for L•• F•••••••• L•• (registered 2024-06-28)Jul 3, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address