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•••••• A••• P•••••
- C•• P••• A•••••••• I••• institutional currentsince Feb 16, 2021 · Frazer, Pa
- C••••••••• F•••••••• N•••••• national BDOct 12, 2015 to Dec 18, 2020 · Frazer, Pa
- P•• W••••• M••••••••• BD affiliatedJun 5, 2013 to Sep 8, 2015 · Doylestown, Pa
- I•••••• A•••••••• I••• asset managerFeb 1, 2013 to May 23, 2013 · Atlanta, Ga
- C••••••••• F•••••••• N•••••• to C•• P••• A•••••••• I•••left Dec 18, 2020, registered Feb 16, 2021 (60 days) · Affiliated broker-dealer or bank to a newly registered adviser
- P•• W••••• M••••••••• to C••••••••• F•••••••• N••••••left Sep 8, 2015, registered Oct 12, 2015 (34 days) · Other
- I•••••• A•••••••• I••• to P•• W••••• M•••••••••left May 23, 2013, registered Jun 5, 2013 (13 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
- Institutional managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address