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.
C••••••• E••••• H•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 9, 2021 · Atlanta, Ga
- V•••• C••••••• I••• independent RIAJan 3, 2020 to Dec 3, 2021 · Shippenville, Pa
- N••••••••• S••••••••• L•• no RAUMSep 4, 2018 to Dec 31, 2019 · Kittanning, Pa
- V•••• C••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 3, 2021, registered Dec 9, 2021 (6 days) · RIA to affiliated broker-dealer or bank
- N••••••••• S••••••••• L•• to V•••• C••••••• I•••left Dec 31, 2019, registered Jan 3, 2020 (3 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address