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.
A••••• C•••••••
- R•• C•••••• M••••••• L•• national BD currentsince Sep 16, 2019 · Sewickley, Pa
- U•• F•••••••• S••••••• I••• wirehouseJan 30, 2017 to Sep 24, 2019 · Sewickley, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 7, 2015 to Feb 24, 2016 · Pittsburgh, Pa
- J••••• M••••••••• S•••• L•• BD affiliatedJul 29, 2013 to Nov 30, 2015 · Sewickley (Wexford), Pa
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Sep 24, 2019, registered Sep 16, 2019 (-8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Feb 24, 2016, registered Jan 30, 2017 (341 days) · Wirehouse to wirehouse
- J••••• M••••••••• S•••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 30, 2015, registered Dec 7, 2015 (7 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address