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.
M•••••• L•• M•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 17, 2021 · Philadelphia, Pa
- W•••• F•••• A••••••• wirehouseDec 21, 2012 to Mar 22, 2021 · Levittown, Pa
- V••• F•••••••• A•••••••• I••• BD affiliatedAug 29, 2012 to Dec 10, 2012 · Philadelphia, Pa
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Mar 22, 2021, registered Mar 17, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- V••• F•••••••• A•••••••• I••• to W•••• F•••• A•••••••left Dec 10, 2012, registered Dec 21, 2012 (11 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address