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••••• A•••• C••••••
- R•• C•••••• M••••••• L•• national BD currentsince Apr 1, 2024 · York, Pa
- E•••••••• A•••••••• L•• national BDSep 30, 2020 to Apr 6, 2024 · Lancaster, Pa
- E•••••••• A•••••••• L•• to R•• C•••••• M••••••• L••left Apr 6, 2024, registered Apr 1, 2024 (-5 days) · Affiliated broker-dealer or bank to another
- C••••• A•••• C•••••• left E•••••••• A•••••••• L•• for R•• C•••••• M••••••• L•• (registered 2024-04-01)Apr 6, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address