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•••••••• L••••• O••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Aug 9, 2022 · Lancaster, Pa
- W•••• F•••• A••••••• wirehouseMay 1, 2018 to Aug 12, 2022 · Lemoyne, Pa
- W•••• F•••• A••••••• wirehouseNov 30, 2017 to Dec 21, 2017 · Wyomissing, Pa
- P•• W••••• M••••••••• BD affiliatedOct 26, 2015 to May 3, 2018 · Camp Hill, Pa
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Aug 12, 2022, registered Aug 9, 2022 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left May 3, 2018, registered Nov 30, 2017 (-154 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• L••••• O•••• left W•••• F•••• A••••••• for J••••• M••••••••• S•••• L•• (registered 2022-08-09)Aug 12, 2022 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address