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•••• A••••• U••••••
- S•••• W••••• M••••••••• L•• BD affiliated currentsince Aug 28, 2019 · Mclean, Va
- O•••• F•• I••• formerAug 25, 2015 to Aug 28, 2019 · Vienna, Va
- C•••••• S••••••••• M••••••••• I••• independent RIAMar 1, 2012 to Aug 21, 2015 · Reston, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Aug 29, 2011 · Rockville, Md
- V••• F•••••••• A•••••••• L•• unclassifiedOct 24, 2007 to Dec 31, 2010 · Frederick, Md
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 7, 2002 to Jan 2, 2009 · Ponte Verda Beach, Fl
- C•• F•••••••• G••••• I••• formerAug 19, 1998 to Sep 28, 2002 · Gaithersburg, Md
- O•••• F•• I••• to S•••• W••••• M••••••••• L••left Aug 28, 2019, registered Aug 28, 2019 (0 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••••••• M••••••••• I••• to O•••• F•• I•••left Aug 21, 2015, registered Aug 25, 2015 (4 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••• S••••••••• M••••••••• I•••left Aug 29, 2011, registered Mar 1, 2012 (185 days) · Other
- V••• F•••••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 31, 2010, registered Jan 2, 2009 (-728 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to V••• F•••••••• A•••••••• L••left Jan 2, 2009, registered Oct 24, 2007 (-436 days) · Other
- C•• F•••••••• G••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Sep 28, 2002, registered Oct 7, 2002 (9 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address