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•••••• H••• S••••••
- A•••••• P••••••• P•••••••• I••• BD affiliated currentsince Feb 6, 2024 · Seven Fields, Pa
- S•••••• W••••• A••••••• L•• independent RIAJan 3, 2020 to Feb 1, 2024 · Seven Fields, Pa
- G•••• A•••••••• I••••••••• M••••••••• I••• formerSep 20, 2019 to Jun 19, 2020 · Seven Fields, Pa
- S•••••• W••••• A••••••• L•• to A•••••• P••••••• P•••••••• I•••left Feb 1, 2024, registered Feb 6, 2024 (5 days) · RIA to affiliated broker-dealer or bank · moved with a team
- G•••• A•••••••• I••••••••• M••••••••• I••• to S•••••• W••••• A••••••• L••left Jun 19, 2020, registered Jan 3, 2020 (-168 days) · RIA to RIA · moved with a team
- C•••••• H••• S•••••• left S•••••• W••••• A••••••• L•• for A•••••• P••••••• P•••••••• I••• (registered 2024-02-06)Feb 1, 2024 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address