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.
S•••••• M• D•••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Oct 17, 2018 · Tampa, Fl
- S••••• F•••••••• G•••• I•• formerSep 14, 2018 to Oct 12, 2018 · Canonsburg, Pa
- P•• W••••• M••••••••• BD affiliatedJan 10, 2012 to Jul 12, 2018 · Coraopolis, Pa
- S••••• F•••••••• G•••• I•• to J• W• C••• A•••••••• I•••left Oct 12, 2018, registered Oct 17, 2018 (5 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to S••••• F•••••••• G•••• I••left Jul 12, 2018, registered Sep 14, 2018 (64 days) · Affiliated broker-dealer or bank to another
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address