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••••••• L••• H•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Dubois, Pa
- O•••• F•• I••• formerJan 3, 2023 to Jan 24, 2025 · Raleigh, Nc
- W••••••• F•••••••• S•••••••• I••• formerDec 11, 2014 to Jan 6, 2023 · Dubois, Pa
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- W••••••• F•••••••• S•••••••• I••• to O•••• F•• I•••left Jan 6, 2023, registered Jan 3, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- J••••••• L••• H••••••• left W••••••• F•••••••• S•••••••• I••• for O•••• F•• I••• (registered 2023-01-03)Jan 6, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address