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••••• W••••• R••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jun 3, 2019 · Westminster, Md
- A•••••• A••••••• S••••••• formerJan 3, 2017 to Jun 14, 2019 · Westminster, Md
- A•••••• A••••••• S••••••• formerJan 16, 2008 to Dec 31, 2016 · Irving, Tx
- G• A• R••••• • C•••••• BD affiliatedJan 9, 2002 to Oct 18, 2007 · Westminster, Md
- A•••••• A••••••• S••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 14, 2019, registered Jun 3, 2019 (-11 days) · Affiliated broker-dealer or bank to another
- G• A• R••••• • C•••••• to A•••••• A••••••• S•••••••left Oct 18, 2007, registered Jan 16, 2008 (90 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address