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.
L•••• R••••• C•••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 16, 2023 · Bridgeville, Pa
- S•••••• W••••• A••••••• L•• independent RIADec 1, 2020 to May 17, 2023 · Seven Fields, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 19, 2018 to Nov 12, 2020 · Sewickley, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2015 to Aug 2, 2016 · Knoxville, Tn
- S•••••• W••••• A••••••• L•• to L•• F•••••••• L••left May 17, 2023, registered May 16, 2023 (-1 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• W••••• A••••••• L••left Nov 12, 2020, registered Dec 1, 2020 (19 days) · Wirehouse to independent RIA
- L•••• R••••• C••••••••• left S•••••• W••••• A••••••• L•• for L•• F•••••••• L•• (registered 2023-05-16)May 17, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address