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.
L••••••• E••••• A••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 31, 2022 · Selbyville, De
- W•••• F•••• A••••••• wirehouseAug 30, 2012 to Sep 7, 2022 · Hunt Valley, Md
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 21, 2012 · Hunt Valley, Md
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Hunt Valley, Md
- M••••• S•••••• D• I••• unclassifiedAug 7, 2003 to Apr 2, 2007 · Lutherville, Md
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Sep 7, 2022, registered Aug 31, 2022 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 21, 2012, registered Aug 30, 2012 (-22 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- L••••••• E••••• A•••••• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-08-31)Sep 7, 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address