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.
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J••• A•••••
- P•••• A•••••••• I••• asset manager currentsince Nov 13, 2023 · Malvern, Pa
- L•• F•••••••• L•• BD affiliatedJan 6, 2022 to Aug 28, 2023 · Elizabethtown, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDOct 28, 2021 to Dec 17, 2021 · Elizabethtown, Pa
- L•• F•••••••• L•• to P•••• A•••••••• I•••left Aug 28, 2023, registered Nov 13, 2023 (77 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 17, 2021, registered Jan 6, 2022 (20 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••• A••••• left L•• F•••••••• L•• for P•••• A•••••••• I••• (registered 2023-11-13)Aug 28, 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address