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.
S•••••• J••• K•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 30, 2023 · Millersville, Md
- P•••• S••••••••• L•• no RAUMNov 3, 2020 to Aug 8, 2023 · Pikesville, Md
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJan 8, 2019 to Oct 16, 2020 · Beltsville, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 31, 2015 to Jun 9, 2017 · Columbia, Md
- O•••• I••••••••• I••• BD affiliatedJun 4, 2012 to Aug 7, 2015 · Bowie, Md
- P•• W••••• M••••••••• BD affiliatedMay 27, 2008 to Jan 3, 2012 · Laurel, Md
- P•••• S••••••••• L•• to L•• F•••••••• L••left Aug 8, 2023, registered Aug 30, 2023 (22 days) · Affiliated broker-dealer or bank to another
- M••••• O• O•••• I••••••• S•••••••• I••• to P•••• S••••••••• L••left Oct 16, 2020, registered Nov 3, 2020 (18 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• O• O•••• I••••••• S•••••••• I•••left Jun 9, 2017, registered Jan 8, 2019 (578 days) · Other
- O•••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 7, 2015, registered Aug 31, 2015 (24 days) · Other
- P•• W••••• M••••••••• to O•••• I••••••••• I•••left Jan 3, 2012, registered Jun 4, 2012 (153 days) · Other
- S•••••• J••• K••••• left P•••• S••••••••• L•• for L•• F•••••••• L•• (registered 2023-08-30)Aug 8, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address