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••••• C•••••• V•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · Rockville, Md
- M•• F•••••••• S•••••••• I••• formerFeb 6, 2009 to Mar 25, 2017 · Rockville, Md
- W••••• S••••• S••••••••• I••• formerAug 18, 2008 to Jan 22, 2009 · Potomac, Md
- S•••••• C•••••• C••••••••• asset managerJan 23, 2007 to Apr 2, 2008 · Bellingham, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 12, 2005 to Jun 6, 2006 · Rockville, Md
- U•• F•••••••• S••••••• I••• wirehouseJan 6, 2005 to Apr 18, 2005 · Bethesda, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJul 23, 1999 to May 20, 2003 · Mclean, Va
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- W••••• S••••• S••••••••• I••• to M•• F•••••••• S•••••••• I•••left Jan 22, 2009, registered Feb 6, 2009 (15 days) · Other
- S•••••• C•••••• C••••••••• to W••••• S••••• S••••••••• I•••left Apr 2, 2008, registered Aug 18, 2008 (138 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• C•••••• C•••••••••left Jun 6, 2006, registered Jan 23, 2007 (231 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 18, 2005, registered May 12, 2005 (24 days) · Wirehouse to wirehouse
- L••• M•••• W••• W•••••• I••••••••• to U•• F•••••••• S••••••• I•••left May 20, 2003, registered Jan 6, 2005 (597 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address