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.
W•••••• R• S•••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Nov 16, 2023 · Lansdale, Pa
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Nov 1, 2023 · Limerick, Pa
- S••••••• I••••••••• I••• formerMay 23, 2017 to Nov 2, 2018 · Limerick, Pa
- P•• W••••• M••••••••• BD affiliatedJan 29, 2014 to Nov 25, 2016 · Philadelphia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 17, 2011 to Dec 9, 2013 · Wayne, Pa
- M••••• S•••••• wirehouseJan 11, 2011 to Aug 24, 2011 · West Conshohocken, Pa
- O•••• W•••••• I••• to P•••••• A•••••• G••••• L••left Nov 1, 2023, registered Nov 16, 2023 (15 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to S••••••• I••••••••• I•••left Nov 25, 2016, registered May 23, 2017 (179 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Dec 9, 2013, registered Jan 29, 2014 (51 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 24, 2011, registered Oct 17, 2011 (54 days) · Wirehouse to wirehouse
- W•••••• R• S••••••• left O•••• W•••••• I••• for P•••••• A•••••• G••••• L•• (registered 2023-11-16)Nov 1, 2023 · a•••••• firm change · 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