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.
S•••••• M•••••• S••••
- E•• F•••••••• A••••••• independent RIA currentsince Dec 12, 2018 · Media, Pa
- P•••• S••••••••• L•• no RAUMNov 25, 2015 to Nov 27, 2018 · Marlton, Nj
- M••••• L•• independent RIAOct 8, 2014 to Nov 3, 2015 · Radnor, Pa
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 1, 2009 to Oct 3, 2014 · Philadelphia, Pa
- P•••• S••••••••• L•• to E•• F•••••••• A•••••••left Nov 27, 2018, registered Dec 12, 2018 (15 days) · Affiliated broker-dealer or bank to another
- M••••• L•• to P•••• S••••••••• L••left Nov 3, 2015, registered Nov 25, 2015 (22 days) · Other
- V••• F•••••••• A•••••••• I••• to M••••• L••left Oct 3, 2014, registered Oct 8, 2014 (5 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address