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••••• R••••• D••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 27, 2023 · Austin, Tx
- V••••••• A•••••••• I••• BD affiliatedFeb 3, 2022 to Apr 12, 2023 · Malvern, Pa
- S••••••• F•••••••• S•••••••• I••• formerMay 14, 2020 to Jul 29, 2021 · Plymouth Meeting, Pa
- E•••••••• A•••••••• L•• national BDJan 31, 2020 to Apr 9, 2020 · Bala Cynwyd, Pa
- V••••••• A•••••••• I••• to K••••• A••••••• S•••••••• L••left Apr 12, 2023, registered Apr 27, 2023 (15 days) · Affiliated broker-dealer or bank to another
- S••••••• F•••••••• S•••••••• I••• to V••••••• A•••••••• I•••left Jul 29, 2021, registered Feb 3, 2022 (189 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Apr 9, 2020, registered May 14, 2020 (35 days) · Affiliated broker-dealer or bank to another
- C••••• R••••• D•••••• left V••••••• A•••••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2023-04-27)Apr 12, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address