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•••• A••• D•••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · New Cumberland, Pa
- P•••• S••••••••• L•• no RAUMMay 15, 2024 to Nov 14, 2024 · Camp Hill, Pa
- F•••• independent RIAApr 6, 2020 to Apr 25, 2024 · West Palm Beach, Fl
- V••••••• A•••••••• I••• BD affiliatedApr 19, 2017 to Apr 15, 2020 · Scottsdale, Az
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- F•••• to P•••• S••••••••• L••left Apr 25, 2024, registered May 15, 2024 (20 days) · RIA to affiliated broker-dealer or bank
- V••••••• A•••••••• I••• to F••••left Apr 15, 2020, registered Apr 6, 2020 (-9 days) · Affiliated broker-dealer or bank to independent RIA
- J•••• A••• D••• left Facet for P•••• S••••••••• L•• (registered 2024-05-15)Apr 25, 2024 · 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