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.
I•••••• R• O•••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 8, 2022 · Newtown, Pa
- H•••••• T••••••• • K•••• L•• independent RIAFeb 23, 2015 to Aug 2, 2022 · Conshohocken, Pa
- M•• F•••••••• S•••••••• I••• formerFeb 2, 2011 to Feb 20, 2015 · Plymouth Meeting, Pa
- H•••••• T••••••• • K•••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 2, 2022, registered Aug 8, 2022 (6 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Feb 20, 2015, registered Feb 23, 2015 (3 days) · Other · moved with a team
- I•••••• R• O••••••• left H•••••• T••••••• • K•••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-08-08)Aug 2, 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