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.
D•••• P•••• P•••••
- C•••• A•••••••• L•• state registered currentsince Oct 15, 2012 · Wayne, Pa
- P•••••••• D••••••••• I••••••••• S••••••• C•••• formerMay 2, 2011 to Jul 20, 2012 · Hagerstown, Md
- C••••••••• C•••••• A••••••• formerNov 8, 2010 to May 2, 2011 · Hagerstown, Md
- B••••• I••••••••• A••••••• L•• unclassifiedApr 30, 2010 to Nov 5, 2010 · Chicago, Il
- S•••• W••••• M••••••••• L•• BD affiliatedJan 22, 2003 to Apr 30, 2010 · Hagerstown, Md
- O•••• F•• I••• formerOct 9, 2002 to Feb 3, 2003 · Hagerstown, Md
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 12, 2001 to Oct 10, 2002 · Annapolis, Md
- P•••••••• D••••••••• I••••••••• S••••••• C•••• to C•••• A•••••••• L••left Jul 20, 2012, registered Oct 15, 2012 (87 days) · Other
- C••••••••• C•••••• A••••••• to P•••••••• D••••••••• I••••••••• S••••••• C••••left May 2, 2011, registered May 2, 2011 (0 days) · Other
- B••••• I••••••••• A••••••• L•• to C••••••••• C•••••• A•••••••left Nov 5, 2010, registered Nov 8, 2010 (3 days) · Other
- S•••• W••••• M••••••••• L•• to B••••• I••••••••• A••••••• L••left Apr 30, 2010, registered Apr 30, 2010 (0 days) · Other
- O•••• F•• I••• to S•••• W••••• M••••••••• L••left Feb 3, 2003, registered Jan 22, 2003 (-12 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to O•••• F•• I•••left Oct 10, 2002, registered Oct 9, 2002 (-1 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address