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.
T•••••• A••••• H•••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Lancaster, Pa
- C••• B•••••••• S•••••••• I••• formerDec 11, 2020 to May 18, 2022 · Lancaster, Pa
- S•••••••• S••••••••• BD affiliatedMar 27, 2019 to Dec 7, 2020 · Lititz, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 20, 2018 to Feb 6, 2019 · Lancaster, Pa
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- S•••••••• S••••••••• to C••• B•••••••• S•••••••• I•••left Dec 7, 2020, registered Dec 11, 2020 (4 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• S•••••••••left Feb 6, 2019, registered Mar 27, 2019 (49 days) · Wirehouse 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