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.
D••••• O• M••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jul 29, 2021 · Allentown, Pa
- C••••••• S••••••••• I••• BD affiliatedApr 10, 2015 to Aug 9, 2021 · Conshohocken, Pa
- S•••••••• S••••••••• BD affiliatedNov 21, 2013 to Mar 5, 2015 · Harrisburg, Pa
- P•• W••••• M••••••••• BD affiliatedMay 10, 2012 to Oct 25, 2013 · Whitehall, Pa
- M••••• S•••••• wirehouseAug 5, 2011 to Apr 30, 2012 · Allentown, Pa
- C••••••• S••••••••• I••• to T••••• A••••••• S•••••••• I•••left Aug 9, 2021, registered Jul 29, 2021 (-11 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• S••••••••• to C••••••• S••••••••• I•••left Mar 5, 2015, registered Apr 10, 2015 (36 days) · Other
- P•• W••••• M••••••••• to S•••••••• S•••••••••left Oct 25, 2013, registered Nov 21, 2013 (27 days) · Other
- M••••• S•••••• to P•• W••••• M•••••••••left Apr 30, 2012, registered May 10, 2012 (10 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address