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.
T•• B••••••••
- P•• W••••• M••••••••• BD affiliated currentsince Jan 12, 2024 · Hilton Head Island, Sc
- V••••••• A•••••••• I••• BD affiliatedApr 8, 2022 to Jan 17, 2023 · Malvern, Pa
- P•••• S••••••••• L•• no RAUMJun 8, 2021 to Jan 24, 2022 · Camp Hill, Pa
- C••••••• S••••••••• I••• BD affiliatedSep 6, 2016 to Apr 23, 2020 · Plymouth Meeting, Pa
- S•••••••• S••••••••• BD affiliatedApr 30, 2014 to Sep 8, 2016 · Villanova, Pa
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 28, 2012 to Apr 30, 2014 · Long Island City, Ny
- M••••• S•••••• wirehouseNov 15, 2010 to Jan 27, 2012 · Philadelphia, Pa
- W•••• F•••• A••••••• wirehouseSep 16, 2009 to Nov 8, 2010 · West Chester, Pa
- V••••••• A•••••••• I••• to P•• W••••• M•••••••••left Jan 17, 2023, registered Jan 12, 2024 (360 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to V••••••• A•••••••• I•••left Jan 24, 2022, registered Apr 8, 2022 (74 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to P•••• S••••••••• L••left Apr 23, 2020, registered Jun 8, 2021 (411 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to C••••••• S••••••••• I•••left Sep 8, 2016, registered Sep 6, 2016 (-2 days) · Other
- C•••••••• G••••• M•••••• I••• to S•••••••• S•••••••••left Apr 30, 2014, registered Apr 30, 2014 (0 days) · Other
- M••••• S•••••• to C•••••••• G••••• M•••••• I•••left Jan 27, 2012, registered Sep 28, 2012 (245 days) · Other
- W•••• F•••• A••••••• to M••••• S••••••left Nov 8, 2010, registered Nov 15, 2010 (7 days) · Wirehouse to wirehouse
- T•• B•••••••• left V••••••• A•••••••• I••• for P•• W••••• M••••••••• (registered 2024-01-12)Jan 17, 2023 · Advisor changed firm · fact
- T•• B•••••••• left P•••• S••••••••• L•• for V••••••• A•••••••• I••• (registered 2022-04-08)Jan 24, 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
- 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