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.
C••••••••• A•••• B••••
- M••••• S•••••• wirehouse currentsince May 5, 2023 · Annapolis, Md
- R•• C•••••• M••••••• L•• national BDMar 13, 2009 to May 24, 2023 · Annapolis, Md
- F•••••• B•••• W••••• L•• unclassifiedOct 31, 2006 to Mar 13, 2009 · Annapolis, Md
- A• G• E•••••• • S•••• I••• unclassifiedJan 25, 1991 to Nov 3, 2006 · Annapolis, Md
- R•• C•••••• M••••••• L•• to M••••• S••••••left May 24, 2023, registered May 5, 2023 (-19 days) · Affiliated broker-dealer or bank to wirehouse
- F•••••• B•••• W••••• L•• to R•• C•••••• M••••••• L••left Mar 13, 2009, registered Mar 13, 2009 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to F•••••• B•••• W••••• L••left Nov 3, 2006, registered Oct 31, 2006 (-3 days) · Other
- C••••••••• A•••• B•••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2023-05-05)May 24, 2023 · 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address