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.
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J•••• R••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 22, 2024 · Lock Haven, Pa
- P•• W••••• M••••••••• BD affiliatedJul 27, 2021 to Jan 22, 2024 · Bridgeville, Pa
- E•••••••• A•••••••• L•• national BDSep 24, 2018 to Jun 12, 2020 · Greenville, Sc
- S•••••••• I••••••••• M••••••••• formerJan 26, 2017 to Mar 9, 2018 · Saint Louis, Mo
- B••• I••••••••• S•••••••• I••• formerAug 12, 2014 to Sep 22, 2015 · Easton, Md
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 14, 2014 to Aug 7, 2014 · Annapolis, Md
- L•• F•••••••• L•• BD affiliatedNov 17, 2011 to Feb 12, 2014 · Hollidaysburg, Pa
- N•• E•••••• S••••••••• C••••••••• formerMar 23, 2011 to Oct 18, 2011 · Pittsburgh, Pa
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jan 22, 2024, registered Jan 22, 2024 (0 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to P•• W••••• M•••••••••left Jun 12, 2020, registered Jul 27, 2021 (410 days) · Affiliated broker-dealer or bank to another
- S•••••••• I••••••••• M••••••••• to E•••••••• A•••••••• L••left Mar 9, 2018, registered Sep 24, 2018 (199 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to S•••••••• I••••••••• M•••••••••left Sep 22, 2015, registered Jan 26, 2017 (492 days) · Other
- C••••• I••••••••• A••••••• L•• to B••• I••••••••• S•••••••• I•••left Aug 7, 2014, registered Aug 12, 2014 (5 days) · Other
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Feb 12, 2014, registered Feb 14, 2014 (2 days) · Other
- N•• E•••••• S••••••••• C••••••••• to L•• F•••••••• L••left Oct 18, 2011, registered Nov 17, 2011 (30 days) · Other
- J•••• R••• B•••• left P•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2024-01-22)Jan 22, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address