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.
S•••••• W• H•••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 1, 2023 · New York, Ny
- F•••• C•••••• A••••••• G••••• L•• formerOct 28, 2016 to Oct 13, 2023 · Blue Bell, Pa
- M••••• L•• independent RIAOct 20, 2014 to Sep 8, 2016 · Boston, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 12, 2013 to Oct 3, 2014 · Philadelphia, Pa
- F•••• C•••••• A••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 13, 2023, registered Sep 1, 2023 (-42 days) · RIA to RIA
- M••••• L•• to F•••• C•••••• A••••••• G••••• L••left Sep 8, 2016, registered Oct 28, 2016 (50 days) · Other
- V••• F•••••••• A•••••••• I••• to M••••• L••left Oct 3, 2014, registered Oct 20, 2014 (17 days) · corporate re-registration, not a move
- S•••••• W• H••••••• left F•••• C•••••• A••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-09-01)Oct 13, 2023 · Advisor changed firm · fact
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address