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••• E••••• T•••••••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Jun 22, 2017 · Sterling, Va
- N•• E•••••• S••••••••• C••••••••• formerNov 17, 2005 to Jun 24, 2011 · Bethesda, Md
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 10, 2003 to Sep 20, 2005 · Vienna, Va
- N•• E•••••• S••••••••• C••••••••• formerSep 23, 1999 to Feb 11, 2003 · Bethesda, Md
- N•• E•••••• S••••••••• C••••••••• to W••••••••• A••••••• P••••••• L••left Jun 24, 2011, registered Jun 22, 2017 (2190 days) · Other
- M•• I•••••••• S•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Sep 20, 2005, registered Nov 17, 2005 (58 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left Feb 11, 2003, registered Jun 10, 2003 (119 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address