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.
P•••• S••••• B••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince Feb 4, 2019 · Chicago, Il
- B•••• A••••••• S••••••••• L•• formerOct 17, 2003 to Jan 28, 2019 · Baltimore, Md
- B•••• A••••••• S••••••••• L•• unclassifiedNov 20, 2002 to Oct 10, 2003 · Baltimore, Md
- D••••••• B••• S••••••••• I••• no RAUMSep 18, 2000 to Dec 3, 2002 · Baltimore, Md
- B•••• A••••••• S••••••••• L•• to W•••••• B•••• • C•••••• L•••••left Jan 28, 2019, registered Feb 4, 2019 (7 days) · RIA to affiliated broker-dealer or bank · moved with a team
- B•••• A••••••• S••••••••• L•• to B•••• A••••••• S••••••••• L••left Oct 10, 2003, registered Oct 17, 2003 (7 days) · Other
- D••••••• B••• S••••••••• I••• to B•••• A••••••• S••••••••• L••left Dec 3, 2002, registered Nov 20, 2002 (-13 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address