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.
R•• M•••••• K••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 14, 2021 · Philadelphia, Pa
- A•••• W••••• M••••••••• I••• independent RIAJan 4, 2021 to Oct 13, 2021 · Wynnewood, Pa
- E•••••••• A•••••••• L•• national BDJul 20, 2020 to Jan 5, 2021 · Bala Cynwyd, Pa
- I•••••••• A•••••••• L•• BD affiliatedApr 15, 2019 to Dec 26, 2019 · Bala Cynwyd, Pa
- A•••• W••••• M••••••••• I••• to A••••• A•• P••••••• S•••••••left Oct 13, 2021, registered Oct 14, 2021 (1 days) · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to A•••• W••••• M••••••••• I•••left Jan 5, 2021, registered Jan 4, 2021 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- I•••••••• A•••••••• L•• to E•••••••• A•••••••• L••left Dec 26, 2019, registered Jul 20, 2020 (207 days) · RIA to affiliated broker-dealer or bank
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