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.
L••••• P••••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Sep 30, 2024 · Clementon, Nj
- H••••• M••• I••••••••• I••• no RAUMMay 11, 2023 to Sep 30, 2024 · Springfield, Il
- F•••••• F•••••••• A•••••••• L•• BD affiliatedFeb 9, 2022 to Jan 27, 2023 · Philadelphia, Pa
- H••••• M••• I••••••••• I••• to E•••••• F•••••••• E••••••left Sep 30, 2024, registered Sep 30, 2024 (0 days) · Affiliated broker-dealer or bank to independent RIA
- F•••••• F•••••••• A•••••••• L•• to H••••• M••• I••••••••• I•••left Jan 27, 2023, registered May 11, 2023 (104 days) · Other
- L••••• P•••••• left H••••• M••• I••••••••• I••• for E•••••• F•••••••• E•••••• (registered 2024-09-30)Sep 30, 2024 · Advisor changed firm · fact
- L••••• P•••••• left F•••••• F•••••••• A•••••••• L•• for H••••• M••• I••••••••• I••• (registered 2023-05-11)Jan 27, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address