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.
R••••• J••• M•••••
- O••••••••• • C•• I••• BD affiliated currentsince Aug 1, 2022 · Washington, Dc
- R•• C•••••• M••••••• L•• national BDSep 24, 2014 to Jul 20, 2022 · Washington, Dc
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 3, 2014 · Washington, Dc
- M••••• S•••••• • C•• L•• unclassifiedApr 24, 2008 to Jun 1, 2009 · Washington, Dc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 31, 1994 to Apr 28, 2008 · Washington, Dc
- R•• C•••••• M••••••• L•• to O••••••••• • C•• I•••left Jul 20, 2022, registered Aug 1, 2022 (12 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•• C•••••• M••••••• L••left Oct 3, 2014, registered Sep 24, 2014 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Apr 28, 2008, registered Apr 24, 2008 (-4 days) · Other
- R••••• J••• M••••• left R•• C•••••• M••••••• L•• for O••••••••• • C•• I••• (registered 2022-08-01)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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address