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.
T•••• A•• F•••••
- O•••••• A••••••• L•• independent RIA currentsince Nov 22, 2016 · Coopersburg, Pa
- L•••••• A••••••• I••••••••• independent RIAMay 7, 2013 to Nov 17, 2016 · Allentown, Pa
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 17, 2010 to May 10, 2013 · Allentown, Pa
- L•••••• A••••••• I••••••••• to O•••••• A••••••• L••left Nov 17, 2016, registered Nov 22, 2016 (5 days) · RIA to RIA
- M•• I•••••••• S•••••••• L•• to L•••••• A••••••• I•••••••••left May 10, 2013, registered May 7, 2013 (-3 days) · Other
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address