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•••• S•• L••••
- C••••• • A••••••••• I••• independent RIA currentsince Aug 30, 2018 · Hagerstown, Md
- C• W••••• M••••••••• L•• independent RIAAug 21, 2017 to Aug 29, 2018 · Hagerstown, Md
- W••••••• S••••••••• A••••••• formerAug 24, 2015 to Jun 13, 2017 · Hagerstown, Md
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jun 15, 2015 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 5, 2008 to Jan 2, 2009 · Hagerstown, Md
- C••••• I••••••••• S••••••• L•• formerMay 31, 2006 to Jun 5, 2008 · Oxford, Pa
- I••• S••••••••• I••• unclassifiedMay 29, 2003 to Mar 2, 2006 · Westminster, Md
- I••••• F•••••••• C••••••••• formerOct 19, 2001 to Feb 10, 2003 · Westminster, Md
- C• W••••• M••••••••• L•• to C••••• • A••••••••• I•••left Aug 29, 2018, registered Aug 30, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
- W••••••• S••••••••• A••••••• to C• W••••• M••••••••• L••left Jun 13, 2017, registered Aug 21, 2017 (69 days) · Other · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W••••••• S••••••••• A•••••••left Jun 15, 2015, registered Aug 24, 2015 (70 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 5, 2008, registered Jun 5, 2008 (0 days) · Other
- I••• S••••••••• I••• to C••••• I••••••••• S••••••• L••left Mar 2, 2006, registered May 31, 2006 (90 days) · Other
- I••••• F•••••••• C••••••••• to I••• S••••••••• I•••left Feb 10, 2003, registered May 29, 2003 (108 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
- Independent wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address