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••• R•• B•••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Feb 7, 2019 · Prospect, Pa
- N••••••••• S••••••••• L•• no RAUMMar 20, 2015 to Feb 8, 2019 · Apollo, Pa
- P•• W••••• M••••••••• BD affiliatedDec 11, 2013 to Feb 23, 2015 · Butler, Pa
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 11, 2012 to Dec 17, 2013 · Pittsburgh, Pa
- N••••••••• S••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 8, 2019, registered Feb 7, 2019 (-1 days) · Other
- P•• W••••• M••••••••• to N••••••••• S••••••••• L••left Feb 23, 2015, registered Mar 20, 2015 (25 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to P•• W••••• M•••••••••left Dec 17, 2013, registered Dec 11, 2013 (-6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address