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.
M•••••• F•••• A••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 24, 2023 · San Diego, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedJul 22, 2019 to Aug 25, 2023 · San Diego, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 16, 2011 to Jul 24, 2019 · Ocean City, Md
- L•• F•••••••• L•• BD affiliatedJan 3, 2003 to May 16, 2011 · Berlin, Md
- S••••••••• C•••••• M••••••••• I••• formerJan 1, 1997 to Jan 6, 2003 · Annapolis, Md
- I••••••••• F•••••••• G••••• L•• to L•• F•••••••• L••left Aug 25, 2023, registered Aug 24, 2023 (-1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• G••••• L••left Jul 24, 2019, registered Jul 22, 2019 (-2 days) · Wirehouse to independent RIA
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 16, 2011, registered May 16, 2011 (0 days) · Other
- S••••••••• C•••••• M••••••••• I••• to L•• F•••••••• L••left Jan 6, 2003, registered Jan 3, 2003 (-3 days) · Other
- M•••••• F•••• A•••• left I••••••••• F•••••••• G••••• L•• for L•• F•••••••• L•• (registered 2023-08-24)Aug 25, 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address