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.
- W•••• F•••• A••••••• wirehouse currentsince May 22, 2025 · Naples, Fl
- P•••••••• S••••••••• I••• BD affiliatedJun 20, 2023 to Sep 5, 2023 · Wayne, Pa
- M••••• S•••••• wirehouseOct 24, 2019 to Jun 28, 2021 · Philadelphia, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 2018 to Jul 12, 2019 · Philadelphia, Pa
- P•••••••• S••••••••• I••• to W•••• F•••• A•••••••left Sep 5, 2023, registered May 22, 2025 (625 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to P•••••••• S••••••••• I•••left Jun 28, 2021, registered Jun 20, 2023 (722 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 12, 2019, registered Oct 24, 2019 (104 days) · Wirehouse to wirehouse
- C•••• S••••• left P•••••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2025-05-22)Sep 5, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address