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.
W••• M•••••• M••••••
- P•• C•••••• A••••••• L•• other currentsince Apr 18, 2022 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseMar 31, 2010 to Nov 7, 2011 · Columbia, Md
- B•••• A••••••• S••••••••• L•• formerJun 16, 2008 to Dec 31, 2009 · Baltimore, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jun 27, 2008 · New York, Ny
- C••••••• I••••••••• S••••••• unclassifiedAug 22, 2006 to May 29, 2007 · Washington, Dc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 17, 2002 to Dec 2, 2005 · Baltimore, Md
- W•••• F•••• A••••••• to P•• C•••••• A••••••• L••left Nov 7, 2011, registered Apr 18, 2022 (3815 days) · Other
- B•••• A••••••• S••••••••• L•• to W•••• F•••• A•••••••left Dec 31, 2009, registered Mar 31, 2010 (90 days) · Other
- C•••••••• G••••• M•••••• I••• to B•••• A••••••• S••••••••• L••left Jun 27, 2008, registered Jun 16, 2008 (-11 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Dec 2, 2005, registered Aug 22, 2006 (263 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
- Other adviserderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address