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•••••• A•• S•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jul 31, 2019 · Wilkes-Barre, Pa
- S•••••••• S••••••••• BD affiliatedJan 12, 2018 to Jul 19, 2019 · Pottsville, Pa
- C••••••• S••••••••• I••• BD affiliatedMar 29, 2017 to Jan 8, 2018 · Forty Fort, Pa
- P•• W••••• M••••••••• BD affiliatedJan 1, 2015 to Jan 13, 2017 · Mount Pocono, Pa
- S•••••••• S••••••••• to A••••• A•• P••••••• S•••••••left Jul 19, 2019, registered Jul 31, 2019 (12 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to S•••••••• S•••••••••left Jan 8, 2018, registered Jan 12, 2018 (4 days) · Other
- P•• W••••• M••••••••• to C••••••• S••••••••• I•••left Jan 13, 2017, registered Mar 29, 2017 (75 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