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.
E••• R• F•••• L•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 17, 2024 · Allentown, Pa
- W•••• F•••• A••••••• wirehouseNov 2, 2022 to Nov 20, 2024 · Allentown, Pa
- C••••••• S••••••••• I••• BD affiliatedMar 11, 2022 to Oct 5, 2022 · Conshohocken, Pa
- W•••• F•••• A••••••• wirehouseMar 17, 2021 to Feb 25, 2022 · Bayonne, Nj
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 20, 2024, registered Dec 17, 2024 (27 days) · Wirehouse to wirehouse
- C••••••• S••••••••• I••• to W•••• F•••• A•••••••left Oct 5, 2022, registered Nov 2, 2022 (28 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to C••••••• S••••••••• I•••left Feb 25, 2022, registered Mar 11, 2022 (14 days) · Wirehouse to affiliated broker-dealer or bank
- E••• R• F•••• L••••••• left W•••• F•••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-12-17)Nov 20, 2024 · Advisor changed firm · fact
- E••• R• F•••• L••••••• left C••••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2022-11-02)Oct 5, 2022 · Advisor changed firm · fact
- E••• R• F•••• L••••••• left W•••• F•••• A••••••• for C••••••• S••••••••• I••• (registered 2022-03-11)Feb 25, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address