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.
J••• S•••• M••••
- C••• S••••• P••••••• BD affiliated currentsince Jul 27, 2022 · Charlottesville, Va
- D••••• H•••••• F•••••• • B••••• I••• formerOct 8, 2021 to Aug 29, 2022 · Richmond, Va
- O•• D••••••• C•••••• M••••••••• I••• formerJul 3, 2018 to Oct 8, 2021 · Arlington, Va
- L•• F•••••••• L•• BD affiliatedAug 28, 2015 to Jul 3, 2018 · Annapolis, Md
- A••••• A•• P••••••• S••••••• BD affiliatedMay 16, 2013 to Apr 29, 2015 · Washington, Dc
- W•••• F•••• A••••••• wirehouseSep 6, 2011 to Mar 5, 2013 · Minneapolis, Mn
- P•• W••••• M••••••••• BD affiliatedDec 22, 2010 to Apr 27, 2011 · Philadelphia, Pa
- S••••••• I••••••••• S•••••••• I••• formerFeb 24, 2005 to Sep 19, 2005 · Washington, Dc
- D••••• H•••••• F•••••• • B••••• I••• to C••• S••••• P•••••••left Aug 29, 2022, registered Jul 27, 2022 (-33 days) · RIA to affiliated broker-dealer or bank · moved with a team
- O•• D••••••• C•••••• M••••••••• I••• to D••••• H•••••• F•••••• • B••••• I•••left Oct 8, 2021, registered Oct 8, 2021 (0 days) · channel change inside one enterprise, not a move · moved with a team
- L•• F•••••••• L•• to O•• D••••••• C•••••• M••••••••• I•••left Jul 3, 2018, registered Jul 3, 2018 (0 days) · RIA to RIA
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Apr 29, 2015, registered Aug 28, 2015 (121 days) · Other
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Mar 5, 2013, registered May 16, 2013 (72 days) · Other
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Apr 27, 2011, registered Sep 6, 2011 (132 days) · Other
- S••••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Sep 19, 2005, registered Dec 22, 2010 (1920 days) · Other
- J••• S•••• M•••• left D••••• H•••••• F•••••• • B••••• I••• for C••• S••••• P••••••• (registered 2022-07-27)Aug 29, 2022 · 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address