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.
A•••••• M••• L••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jan 11, 2024 · Newtown Square, Pa
- O•••••• C•••••• A••••••• I••• independent RIADec 27, 2018 to Dec 16, 2022 · Bala Cynwyd, Pa
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 21, 2016 to Dec 26, 2018 · Bala Cynwyd, Pa
- N•• A•••••• S•••••••• L•• formerMar 23, 2015 to Sep 22, 2016 · Philadelphia, Pa
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Apr 1, 2015 · Newtown Square, Pa
- N•• E•••••• S••••••••• C••••••••• formerAug 25, 2014 to Jan 2, 2015 · Newtown Square, Pa
- O•••••• C•••••• A••••••• I••• to M•• I•••••••• S•••••••• L••left Dec 16, 2022, registered Jan 11, 2024 (391 days) · RIA to affiliated broker-dealer or bank
- K••••• A••••••• S•••••••• L•• to O•••••• C•••••• A••••••• I•••left Dec 26, 2018, registered Dec 27, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 21, 2016 (-154 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to N•• A•••••• S•••••••• L••left Apr 1, 2015, registered Mar 23, 2015 (-9 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- A•••••• M••• L•••••••• left O•••••• C•••••• A••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2024-01-11)Dec 16, 2022 · a•••••• firm change · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address