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.
C••••••••• S••••
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 13, 2019 · Pittsburg, Pa
- E•••••• F•••••••• E•••••• independent RIANov 30, 2016 to Sep 14, 2018 · Sewickley, Pa
- F•••••••• E•••••• A•••••• C•••••• L•• formerMay 12, 2016 to Nov 30, 2016 · Cranberry Township, Pa
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 24, 2013 to Oct 27, 2015 · Pittsburgh, Pa
- T• A••••••••• I••• formerJul 24, 2013 to Oct 27, 2015 · Pittsburgh, Pa
- E•••••• F•••••••• E•••••• to C••••••••• F•••••••• N••••••left Sep 14, 2018, registered Sep 13, 2019 (364 days) · RIA to affiliated broker-dealer or bank
- F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F•••••••• E•••••• A•••••• C•••••• L••left Oct 27, 2015, registered May 12, 2016 (198 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 27, 2015, registered Jul 24, 2013 (-825 days) · channel change inside one enterprise, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address