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.
D••••••• P• A•••••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince May 12, 2023 · Blue Bell, Pa
- O•••• P•••••••• S••••••••• L•• BD affiliatedJan 17, 2023 to May 10, 2023 · Berwyn, Pa
- O•••• P•••••••• S••••••••• L•• formerJan 14, 2022 to Jan 6, 2023 · Berwyn, Pa
- O•••• P•••••••• S••••••••• L•• BD affiliatedJul 20, 2021 to Dec 31, 2021 · Omaha, Ne
- B•• M••••• S••••••••• C••••••••• otherFeb 24, 2020 to Jun 14, 2021 · New York, Ny
- O•••• P•••••••• S••••••••• L•• to W••••••••• A••••••• P••••••• L••left May 10, 2023, registered May 12, 2023 (2 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Jan 6, 2023, registered Jan 17, 2023 (11 days) · corporate re-registration, not a move
- O•••• P•••••••• S••••••••• L•• to O•••• P•••••••• S••••••••• L••left Dec 31, 2021, registered Jan 14, 2022 (14 days) · corporate re-registration, not a move
- B•• M••••• S••••••••• C••••••••• to O•••• P•••••••• S••••••••• L••left Jun 14, 2021, registered Jul 20, 2021 (36 days) · Affiliated broker-dealer or bank to another
- D••••••• P• A••••••• left O•••• P•••••••• S••••••••• L•• for W••••••••• A••••••• P••••••• L•• (registered 2023-05-12)May 10, 2023 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address