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.
P••• L••••••• F•••••
- M•••• • C••••• I•• BD affiliated currentsince Apr 23, 2019 · Annapolis, Md
- W•••• F•••• A••••••• wirehouseAug 12, 2016 to Mar 11, 2019 · Washington, Dc
- U•• F•••••••• S••••••• I••• wirehouseFeb 19, 2009 to Aug 23, 2016 · Washington, Dc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 13, 2009 · Washington, Dc
- M••••• S•••••• D• I••• unclassifiedSep 22, 2006 to Apr 2, 2007 · Washington, Dc
- W•••• F•••• A••••••• to M•••• • C••••• I••left Mar 11, 2019, registered Apr 23, 2019 (43 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 23, 2016, registered Aug 12, 2016 (-11 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Feb 13, 2009, registered Feb 19, 2009 (6 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address