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.
D•••• J••• H•••
- P•••••••• A••••••• national BD currentsince Sep 12, 2014 · Parkville, Md
- C••••• D•••• A•••• M••••••••• independent RIAJan 4, 2012 to Sep 13, 2012 · Baltimore, Md
- P•••••••• A••••••• national BDSep 13, 2011 to Jan 6, 2012 · Lutherville, Md
- M•••••••• A••••••• S•••••••• L•• unclassifiedMar 18, 2003 to Dec 31, 2009 · Baltimore, Md
- C••••• D•••• A•••• M••••••••• to P•••••••• A•••••••left Sep 13, 2012, registered Sep 12, 2014 (729 days) · Other
- P•••••••• A••••••• to C••••• D•••• A•••• M•••••••••left Jan 6, 2012, registered Jan 4, 2012 (-2 days) · Other
- M•••••••• A••••••• S•••••••• L•• to P•••••••• A•••••••left Dec 31, 2009, registered Sep 13, 2011 (621 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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address