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•••••• R••• S••••
- T••••• P•••••• W•••••• I••• independent RIA currentsince May 5, 2020 · Bethlehem, Pa
- C•••••• S••••• • C••• I••• national BDNov 22, 2017 to Apr 7, 2020 · Allentown, Pa
- P•• W••••• M••••••••• BD affiliatedFeb 26, 2015 to Oct 17, 2017 · Wayne, Pa
- E••••• J•••• national BDMar 20, 2013 to Feb 2, 2015 · Maryland Heights, Mo
- C•••••• S••••• • C••• I••• to T••••• P•••••• W•••••• I•••left Apr 7, 2020, registered May 5, 2020 (28 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to C•••••• S••••• • C••• I•••left Oct 17, 2017, registered Nov 22, 2017 (36 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left Feb 2, 2015, registered Feb 26, 2015 (24 days) · Other · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address