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.
M••••••• H•••• N••••
- R•• C•••••• M••••••• L•• national BD currentsince Feb 25, 2015 · Vienna, Va
- F•••••• B•••• W••••• L•• unclassifiedApr 11, 2007 to Mar 13, 2009 · Washington, Dc
- J••••••• L•••• A•••• M••••••••• I•• formerSep 27, 1996 to Apr 10, 2007 · Washington, Dc
- F•••••• B•••• W••••• L•• to R•• C•••••• M••••••• L••left Mar 13, 2009, registered Feb 25, 2015 (2175 days) · corporate re-registration, not a move
- J••••••• L•••• A•••• M••••••••• I•• to F•••••• B•••• W••••• L••left Apr 10, 2007, registered Apr 11, 2007 (1 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address