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.
G••••• R•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 27, 2026 · Honesdale, Pa
- L•• F•••••••• L•• BD affiliatedAug 30, 2024 to Mar 5, 2026 · Honesdale, Pa
- P••••••••• S••••••••• C••••••••• independent RIAApr 3, 2024 to Sep 12, 2024 · Mountain Top, Pa
- E••••• J•••• national BDJul 1, 2022 to Dec 22, 2023 · Pittston, Pa
- T•• P•••••• F•••••••• G••••• L•• independent RIAJul 1, 2019 to Jul 6, 2022 · Walpole, Ma
- E•• F•••••••• A••••••• independent RIAJan 18, 2018 to Jun 26, 2019 · Winooski, Vt
- P••••••• S••••••••• I••• formerDec 7, 2012 to Jan 22, 2018 · South Burlington, Vt
- M••••• S•••••• wirehouseMar 19, 2012 to Dec 5, 2012 · Philadelphia, Pa
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 5, 2026, registered Feb 27, 2026 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- P••••••••• S••••••••• C••••••••• to L•• F•••••••• L••left Sep 12, 2024, registered Aug 30, 2024 (-13 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to P••••••••• S••••••••• C•••••••••left Dec 22, 2023, registered Apr 3, 2024 (103 days) · Affiliated broker-dealer or bank to independent RIA
- T•• P•••••• F•••••••• G••••• L•• to E••••• J••••left Jul 6, 2022, registered Jul 1, 2022 (-5 days) · RIA to affiliated broker-dealer or bank
- E•• F•••••••• A••••••• to T•• P•••••• F•••••••• G••••• L••left Jun 26, 2019, registered Jul 1, 2019 (5 days) · Affiliated broker-dealer or bank to independent RIA
- P••••••• S••••••••• I••• to E•• F•••••••• A•••••••left Jan 22, 2018, registered Jan 18, 2018 (-4 days) · Other
- M••••• S•••••• to P••••••• S••••••••• I•••left Dec 5, 2012, registered Dec 7, 2012 (2 days) · Other
- G••••• R••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-02-27)Mar 5, 2026 · Advisor changed firm · fact
- G••••• R••••• left P••••••••• S••••••••• C••••••••• for L•• F•••••••• L•• (registered 2024-08-30)Sep 12, 2024 · Advisor changed firm · fact
- G••••• R••••• left E••••• J•••• for P••••••••• S••••••••• C••••••••• (registered 2024-04-03)Dec 22, 2023 · Advisor changed firm · fact
- G••••• R••••• left T•• P•••••• F•••••••• G••••• L•• for E••••• J•••• (registered 2022-07-01)Jul 6, 2022 · Advisor changed firm · fact
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