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••• G•••••• L•••••
- N•••••• A••••••• BD affiliated currentsince Feb 28, 2024 · Fogelsville, Pa
- P••••••• R••••••••• I•••••••• L•• independent RIASep 4, 2020 to Apr 8, 2024 · Montgomeryville, Pa
- C••••••• P•••••••• L•• formerSep 27, 2013 to May 15, 2020 · Bethlehem, Pa
- M•• S••••••••• formerNov 15, 2011 to Sep 13, 2013 · Bethlehem, Pa
- P••••••• R••••••••• I•••••••• L•• to N•••••• A•••••••left Apr 8, 2024, registered Feb 28, 2024 (-40 days) · RIA to affiliated broker-dealer or bank
- C••••••• P•••••••• L•• to P••••••• R••••••••• I•••••••• L••left May 15, 2020, registered Sep 4, 2020 (112 days) · RIA to RIA
- M•• S••••••••• to C••••••• P•••••••• L••left Sep 13, 2013, registered Sep 27, 2013 (14 days) · Other
- S••• G•••••• L••••• left P••••••• R••••••••• I•••••••• L•• for N•••••• A••••••• (registered 2024-02-28)Apr 8, 2024 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address