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.
M•••••• L•••• B••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Oct 16, 2020 · Wyomissisng, Pa
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJul 3, 2017 to Jan 2, 2018 · Charlotte, Nc
- S•••••••• S••••••••• BD affiliatedFeb 27, 2017 to Jun 28, 2017 · Shillington, Pa
- P•• W••••• M••••••••• BD affiliatedSep 27, 2013 to Feb 23, 2017 · Lancaster, Pa
- F•••• A••••• A••••••• S•••••••• I••• formerJan 16, 2013 to Sep 30, 2013 · Shillington, Pa
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Oct 16, 2020 (-124 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- S•••••••• S••••••••• to B••• I••••••••• S•••••••• I•••left Jun 28, 2017, registered Jul 3, 2017 (5 days) · Other
- P•• W••••• M••••••••• to S•••••••• S•••••••••left Feb 23, 2017, registered Feb 27, 2017 (4 days) · Other · moved with a team
- F•••• A••••• A••••••• S•••••••• I••• to P•• W••••• M•••••••••left Sep 30, 2013, registered Sep 27, 2013 (-3 days) · Other
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address