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.
B•••••• P•••••• H•••••
- C•••••• S••••• • C••• I••• national BD currentsince Sep 18, 2009 · Tysons Corner, Va
- T••• F•••••••• A••••••• C••• independent RIAJul 20, 2006 to Jul 24, 2009 · Leesburg, Va
- S•••••••• A••••••• L•• national BDMay 17, 2001 to May 9, 2006 · Washington, Dc
- T••• F•••••••• A••••••• C••• to C•••••• S••••• • C••• I•••left Jul 24, 2009, registered Sep 18, 2009 (56 days) · Other
- S•••••••• A••••••• L•• to T••• F•••••••• A••••••• C•••left May 9, 2006, registered Jul 20, 2006 (72 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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address