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.
J••••• W•••••• L•••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Jefferson Township, Pa
- P•• W••••• M••••••••• BD affiliatedMay 2, 2019 to Feb 10, 2021 · Nanticoke, Pa
- C••••••• S••••••••• I••• BD affiliatedMar 17, 2016 to Jan 9, 2018 · Stroudsburg, Pa
- P•• W••••• M••••••••• to A••••••• A••••••• S•••••••• L••left Feb 10, 2021, registered Nov 1, 2021 (264 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to P•• W••••• M•••••••••left Jan 9, 2018, registered May 2, 2019 (478 days) · Affiliated broker-dealer or bank to another · moved with a team
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