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.
J•••• M•••••• R••
- Z••••• W••••• P••••••• independent RIA currentsince Jul 30, 2019 · Philadelphia, Pa
- C••••••• W••••• M••••••••• L•• independent RIAJun 14, 2018 to Jun 17, 2019 · Berwyn, Pa
- T•• S•••••••• F•••••••• A••••••• BD affiliatedApr 30, 2018 to Jun 14, 2019 · Berwyn, Pa
- C••••••• W••••• M••••••••• L•• to Z••••• W••••• P•••••••left Jun 17, 2019, registered Jul 30, 2019 (43 days) · RIA to RIA
- T•• S•••••••• F•••••••• A••••••• to C••••••• W••••• M••••••••• L••left Jun 14, 2019, registered Jun 14, 2018 (-365 days) · Affiliated broker-dealer or bank to independent RIA
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