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••••••• R•••••• B•••
- I•••••••• A•••••••• L•• BD affiliated currentsince Jan 2, 2020 · Easton, Pa
- P••••••••• B•••••••• S•••••••• I••• independent RIAJul 24, 2015 to Dec 31, 2019 · Bethlehem, Pa
- Q•••••• A•••• M••••••••• I••• formerMay 7, 2014 to Apr 29, 2015 · Minneapolis, Mn
- P••• A••••• S••••••••• L•• BD affiliatedMay 11, 2012 to May 9, 2013 · King Of Prussia, Pa
- O••••••••• • C•• I••• BD affiliatedApr 20, 2011 to Apr 17, 2012 · Bethlehem, Pa
- M••••• S•••••• wirehouseJul 8, 2010 to Apr 29, 2011 · Allentown, Pa
- P••••••••• B•••••••• S•••••••• I••• to I•••••••• A•••••••• L••left Dec 31, 2019, registered Jan 2, 2020 (2 days) · RIA to RIA
- Q•••••• A•••• M••••••••• I••• to P••••••••• B•••••••• S•••••••• I•••left Apr 29, 2015, registered Jul 24, 2015 (86 days) · Other
- P••• A••••• S••••••••• L•• to Q•••••• A•••• M••••••••• I•••left May 9, 2013, registered May 7, 2014 (363 days) · Other
- O••••••••• • C•• I••• to P••• A••••• S••••••••• L••left Apr 17, 2012, registered May 11, 2012 (24 days) · Other
- M••••• S•••••• to O••••••••• • C•• I•••left Apr 29, 2011, registered Apr 20, 2011 (-9 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address