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.
E••• P••• E••••
- V••••••• A•••••••• I••• BD affiliated currentsince Aug 6, 2019 · Malvern, Pa
- H•••••• T••••••• • K•••• L•• independent RIAJan 19, 2017 to Sep 21, 2017 · Conshohocken, Pa
- M•• F•••••••• S•••••••• I••• formerDec 14, 2015 to Aug 19, 2016 · Marlton, Nj
- H•••••• T••••••• • K•••• L•• to V••••••• A•••••••• I•••left Sep 21, 2017, registered Aug 6, 2019 (684 days) · Other
- M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Aug 19, 2016, registered Jan 19, 2017 (153 days) · Other
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