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.
M•••• W•••••••••
- M•••••• BD affiliated currentsince Mar 19, 2024 · Cranberry Township, Pa
- F••• P••• C•••••• G••••• L•• formerAug 31, 2022 to Mar 18, 2024 · P•••Sburgh, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDJul 21, 2017 to Sep 2, 2022 · P•••Sburgh, Pa
- F••• P••• C•••••• G••••• L•• to M••••••left Mar 18, 2024, registered Mar 19, 2024 (1 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to F••• P••• C•••••• G••••• L••left Sep 2, 2022, registered Aug 31, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- M•••• W••••••••• left F••• P••• C•••••• G••••• L•• for Mariner (registered 2024-03-19)Mar 18, 2024 · Advisor changed firm · fact
- M•••• W••••••••• left A••••••••• F•••••••• S•••••••• L•• for F••• P••• C•••••• G••••• L•• (registered 2022-08-31)Sep 2, 2022 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address