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.
N••••••• D••• K••••••
- T•••• R••••• E•••••••• C••••••••• L•• former currentsince Jan 15, 2021 · Wexford, Pa
- O•••• F•• I••• formerSep 3, 2013 to Jan 5, 2021 · Sewickley, Pa
- P•• W••••• M••••••••• BD affiliatedOct 29, 2012 to Sep 5, 2013 · Greensburg, Pa
- O•••• F•• I••• to T•••• R••••• E•••••••• C••••••••• L••left Jan 5, 2021, registered Jan 15, 2021 (10 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to O•••• F•• I•••left Sep 5, 2013, registered Sep 3, 2013 (-2 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
- Former SEC-registered adviserderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address