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.
A••••• A•• N•••••••••
- P•• W••••• M••••••••• BD affiliated currentsince Jun 5, 2024 · Pittsburgh, Pa
- L•• F•••••••• L•• BD affiliatedJun 14, 2023 to May 21, 2024 · Dickson City, Pa
- P•••••• A•••••• G••••• L•• BD affiliatedDec 5, 2022 to Jun 14, 2023 · Dickson City, Pa
- L•• F•••••••• L•• to P•• W••••• M•••••••••left May 21, 2024, registered Jun 5, 2024 (15 days) · Affiliated broker-dealer or bank to another
- P•••••• A•••••• G••••• L•• to L•• F•••••••• L••left Jun 14, 2023, registered Jun 14, 2023 (0 days) · Affiliated broker-dealer or bank to another
- A••••• A•• N••••••••• left L•• F•••••••• L•• for P•• W••••• M••••••••• (registered 2024-06-05)May 21, 2024 · a•••••• firm change · fact
- A••••• A•• N••••••••• left P•••••• A•••••• G••••• L•• for L•• F•••••••• L•• (registered 2023-06-14)Jun 14, 2023 · a•••••• firm change · 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