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.
T••••••• R••• B•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 7, 2025 · Hunt Valley, Md
- W•••• F•••• A••••••• wirehouseAug 20, 2009 to Mar 5, 2012 · Columbia, Md
- A• G• E•••••• • S•••• I••• unclassifiedSep 19, 1991 to Apr 2, 2004 · Baltimore, Md
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 5, 2012, registered Jan 7, 2025 (4691 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Apr 2, 2004, registered Aug 20, 2009 (1966 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