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.
P••••• D•••• M•••
- S•• S•••• W••••• A•••••••• L•• state registered currentsince Dec 26, 2017 · Scottsdale, Az
- M••••• C•••••• A•••••••• L•• independent RIAJan 12, 2017 to Jan 17, 2018 · Bethesda, Md
- V•••• C•••••• P•••••••• L•• independent RIAAug 3, 2011 to Dec 31, 2014 · Rockville, Md
- V•••• C•••••• P•••••••• L•• independent RIAAug 3, 2011 to Jan 9, 2017 · Bethesda, Md
- R••••••• F•••••••• S••••••••• independent RIAOct 1, 2010 to Dec 12, 2011 · Rockville, Md
- L•• F•••••••• L•• BD affiliatedNov 2, 1997 to Apr 28, 2011 · Silver Spring, Md
- M••••• C•••••• A•••••••• L•• to S•• S•••• W••••• A•••••••• L••left Jan 17, 2018, registered Dec 26, 2017 (-22 days) · Other
- V•••• C•••••• P•••••••• L•• to M••••• C•••••• A•••••••• L••left Jan 9, 2017, registered Jan 12, 2017 (3 days) · Other
- R••••••• F•••••••• S••••••••• to V•••• C•••••• P•••••••• L••left Dec 12, 2011, registered Aug 3, 2011 (-131 days) · Other
- L•• F•••••••• L•• to R••••••• F•••••••• S•••••••••left Apr 28, 2011, registered Oct 1, 2010 (-209 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
- STATE REGISTEREDderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address