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.
T••••• R••••• R•••
- M••••• S•••••• wirehouse currentsince Sep 5, 2023 · West Conshohocken, Pa
- E•••••• C•••••• M••••••••• L•• formerFeb 28, 2022 to Sep 5, 2023 · Berwyn, Pa
- C••••••• S••••••••• I••• BD affiliatedJun 15, 2021 to Feb 2, 2022 · Huntingdon Valley, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 13, 2018 to Dec 31, 2020 · Radnor, Pa
- T• A••••••••• I••• formerJul 13, 2018 to Jan 11, 2021 · Radnor, Pa
- S•••••••• A••••••• L•• national BDJun 19, 2014 to Jan 31, 2017 · Philadelphia, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedNov 5, 2012 to Jun 13, 2014 · Philadelphia, Pa
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to E•••••• C•••••• M••••••••• L••left Feb 2, 2022, registered Feb 28, 2022 (26 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••• to C••••••• S••••••••• I•••left Jan 11, 2021, registered Jun 15, 2021 (155 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jul 13, 2018 (-902 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Jan 31, 2017, registered Jul 13, 2018 (528 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- J••••• M••••••••• S•••• L•• to S•••••••• A••••••• L••left Jun 13, 2014, registered Jun 19, 2014 (6 days) · Other
- T••••• R••••• R••• left C••••••• S••••••••• I••• for E•••••• C•••••• M••••••••• L•• (registered 2022-02-28)Feb 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address