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••• T• T•••
- W••••••••• W••••• M••••••••• L•• state registered currentsince Apr 7, 2022 · Philadelphia, Pa
- M••••• S•••••• wirehouseAug 12, 2015 to Jan 28, 2022 · Philadelphia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 11, 2012 to Aug 13, 2015 · Philadelphia, Pa
- M••••• S•••••• to W••••••••• W••••• M••••••••• L••left Jan 28, 2022, registered Apr 7, 2022 (69 days) · Wirehouse to a state-registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Aug 13, 2015, registered Aug 12, 2015 (-1 days) · Wirehouse to wirehouse
- T••• T• T••• left M••••• S•••••• for W••••••••• W••••• M••••••••• L•• (registered 2022-04-07)Jan 28, 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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address