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.
R••••• J••• C•••••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Apr 16, 2019 · Glen Burnie, Md
- G••••• F•••••••• P•••••• C••••••• I••• formerJan 17, 2012 to Apr 23, 2019 · Glen Burnie, Md
- U•• F•••••••• S••••••••• L•• independent RIAAug 28, 2008 to Jan 25, 2012 · Glen Burnie, Md
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerDec 2, 2005 to Jan 26, 2006 · Windsor Locks, Ct
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Dec 9, 2005 · Glen Burnie, Md
- S••••••••• S••••••••• I••• unclassifiedJan 7, 2005 to Oct 31, 2005 · Glen Burnie, Md
- G••••• F•••••••• P•••••• C••••••• I••• to J• W• C••• A•••••••• I•••left Apr 23, 2019, registered Apr 16, 2019 (-7 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Jan 25, 2012, registered Jan 17, 2012 (-8 days) · Other
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to U•• F•••••••• S••••••••• L••left Jan 26, 2006, registered Aug 28, 2008 (945 days) · Other
- S•••••••• F••••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Dec 9, 2005, registered Dec 2, 2005 (-7 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address