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••••• M•••••
- S••• W••••• L•• BD affiliated currentsince Jan 8, 2020 · Aston, Pa
- C•••••• O•• A•••••••• L•• formerNov 16, 2015 to Mar 6, 2018 · Wilmington, De
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 4, 2015 to Jul 8, 2015 · Kng Of Prussia, Pa
- P•• W••••• M••••••••• BD affiliatedAug 1, 2013 to Dec 15, 2014 · Philadelphia, Pa
- V••• F•••••••• A•••••••• I••• BD affiliatedDec 13, 2012 to Jul 16, 2013 · Philadelphia, Pa
- C•••••• O•• A•••••••• L•• to S••• W••••• L••left Mar 6, 2018, registered Jan 8, 2020 (673 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to C•••••• O•• A•••••••• L••left Jul 8, 2015, registered Nov 16, 2015 (131 days) · Other
- P•• W••••• M••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Dec 15, 2014, registered Feb 4, 2015 (51 days) · Other
- V••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••left Jul 16, 2013, registered Aug 1, 2013 (16 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address