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.
C••••••••• P•••••• G••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 11, 2023 · Hunt Valley, Md
- J••••• M••••••••• S•••• L•• BD affiliatedJun 23, 2016 to Oct 12, 2023 · Lutherville (Greenspring), Md
- W•••• F•••• A••••••• wirehouseMay 20, 2011 to Jun 28, 2016 · Baltimore, Md
- R•• C•••••• M••••••• L•• national BDMar 13, 2009 to Jun 16, 2011 · Bel Air, Md
- F•••••• B•••• W••••• L•• unclassifiedJun 20, 2003 to Mar 13, 2009 · Frederick, Md
- W•••• F•••• A••••••• wirehouseJan 25, 1995 to Jun 23, 2003 · Bel Air, Md
- J••••• M••••••••• S•••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 12, 2023, registered Oct 11, 2023 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Jun 28, 2016, registered Jun 23, 2016 (-5 days) · Other · moved with a team
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Jun 16, 2011, registered May 20, 2011 (-27 days) · Affiliated broker-dealer or bank to wirehouse
- F•••••• B•••• W••••• L•• to R•• C•••••• M••••••• L••left Mar 13, 2009, registered Mar 13, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F•••••• B•••• W••••• L••left Jun 23, 2003, registered Jun 20, 2003 (-3 days) · Other
- C••••••••• P•••••• G•••• left J••••• M••••••••• S•••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-10-11)Oct 12, 2023 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address