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••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 6, 2017 · New York, Ny
- E•••• S••••••••• L•• BD affiliatedAug 20, 2013 to Apr 5, 2017 · Timonium, Md
- O•••• F•• I••• formerDec 23, 2011 to Mar 23, 2012 · Vienna, Va
- H•••••• I••••••••• C••••••••• L•• independent RIAMar 15, 2011 to Jul 18, 2011 · Hunt Valley, Md
- S•••••••• A••••••• L•• national BDAug 23, 1996 to Jan 19, 2010 · Towson, Md
- E•••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 5, 2017, registered Nov 6, 2017 (215 days) · Other
- O•••• F•• I••• to E•••• S••••••••• L••left Mar 23, 2012, registered Aug 20, 2013 (515 days) · Other
- H•••••• I••••••••• C••••••••• L•• to O•••• F•• I•••left Jul 18, 2011, registered Dec 23, 2011 (158 days) · Other
- S•••••••• A••••••• L•• to H•••••• I••••••••• C••••••••• L••left Jan 19, 2010, registered Mar 15, 2011 (420 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address