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•••• B••••• T•••••
- L••••• F••••••••• I••• BD affiliated currentsince Feb 5, 2013 · Hunt Valley, Md
- R•• C•••••• M••••••• L•• national BDMar 13, 2009 to Feb 8, 2013 · Hunt Valley, Md
- F•••••• B•••• W••••• L•• unclassifiedFeb 17, 1999 to Mar 13, 2009 · Hunt Valley, Md
- R•• C•••••• M••••••• L•• to L••••• F••••••••• I•••left Feb 8, 2013, registered Feb 5, 2013 (-3 days) · Other
- 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
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address