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••••• D•••••• M•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 23, 2024 · Hunt Valley, Md
- L••••• F••••••••• I••• BD affiliatedJun 30, 2022 to Sep 16, 2024 · Key West, Fl
- R•• C•••••• M••••••• L•• national BDApr 28, 2009 to Jul 20, 2022 · Baltimore, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to May 15, 2009 · Baltimore, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedMar 13, 1991 to Feb 21, 2006 · Baltimore, Md
- L••••• F••••••••• I••• to U•• F•••••••• S••••••• I•••left Sep 16, 2024, registered Sep 23, 2024 (7 days) · RIA to wirehouse
- R•• C•••••• M••••••• L•• to L••••• F••••••••• I•••left Jul 20, 2022, registered Jun 30, 2022 (-20 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left May 15, 2009, registered Apr 28, 2009 (-17 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- W••••• D•••••• M••••••• left L••••• F••••••••• I••• for U•• F•••••••• S••••••• I••• (registered 2024-09-23)Sep 16, 2024 · Advisor changed firm · fact
- W••••• D•••••• M••••••• left R•• C•••••• M••••••• L•• for L••••• F••••••••• I••• (registered 2022-06-30)Jul 20, 2022 · 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
- Wirehousederived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address