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.
R••••• R••••• D•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Collegeville, Pa
- W•••••• • R••• formerOct 3, 2016 to Jul 21, 2021 · Charleroi, Pa
- M••••• L•• independent RIAOct 10, 2014 to Oct 4, 2016 · Radnor, Pa
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 21, 2013 to Oct 3, 2014 · Philadelphia, Pa
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- M••••• L•• to W•••••• • R•••left Oct 4, 2016, registered Oct 3, 2016 (-1 days) · Other
- V••• F•••••••• A•••••••• I••• to M••••• L••left Oct 3, 2014, registered Oct 10, 2014 (7 days) · corporate re-registration, not a move
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