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.
C•••••• E•••••••• W•••
- R•• C•••••• M••••••• L•• national BD currentsince Oct 13, 2023 · Claymont, De
- M••••• S•••••• wirehouseJul 13, 2019 to Oct 20, 2023 · Newtown Square, Pa
- M••••• S•••••• to R•• C•••••• M••••••• L••left Oct 20, 2023, registered Oct 13, 2023 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••• E•••••••• W••• left M••••• S•••••• for R•• C•••••• M••••••• L•• (registered 2023-10-13)Oct 20, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address