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.
J••••• F••••••• S••••
- S•••• W••••• M••••••••• L•• state registered currentsince Mar 12, 2021 · Lancaster, Pa
- F•• A••••••• I•• formerJun 28, 2019 to Mar 16, 2021 · Harrisburg, Pa
- W•••••••• A••••••• I•• formerMay 22, 2017 to Jul 12, 2019 · Lancaster, Pa
- B••• I••••••••• S•••••••• I••• formerSep 8, 2015 to May 15, 2017 · Charlotte, Nc
- V••••• F•••• A•••• M••••••••• L•• formerDec 4, 2013 to Aug 3, 2015 · King Of Prussia, Pa
- M•• S••••••••• I••• unclassifiedJul 8, 2009 to Feb 18, 2011 · Lancaster, Pa
- F•• A••••••• I•• to S•••• W••••• M••••••••• L••left Mar 16, 2021, registered Mar 12, 2021 (-4 days) · RIA to a state-registered adviser
- W•••••••• A••••••• I•• to F•• A••••••• I••left Jul 12, 2019, registered Jun 28, 2019 (-14 days) · RIA to RIA
- B••• I••••••••• S•••••••• I••• to W•••••••• A••••••• I••left May 15, 2017, registered May 22, 2017 (7 days) · Other
- V••••• F•••• A•••• M••••••••• L•• to B••• I••••••••• S•••••••• I•••left Aug 3, 2015, registered Sep 8, 2015 (36 days) · channel change inside one enterprise, not a move · moved with a team
- M•• S••••••••• I••• to V••••• F•••• A•••• M••••••••• L••left Feb 18, 2011, registered Dec 4, 2013 (1020 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address