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••• M•••••• D••••••
- F••••••• F•••••••• S••••••••• L•• independent RIA currentsince Feb 17, 2021 · Johns Island, Sc
- O•••• F•• I••• formerNov 1, 2013 to Feb 5, 2021 · Annapolis, Md
- P•• W••••• M••••••••• BD affiliatedApr 10, 2012 to Nov 4, 2013 · Ocean City, Md
- O•••• F•• I••• formerFeb 8, 2012 to Mar 26, 2012 · Hunt Valley, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedApr 16, 2001 to Nov 7, 2002 · Baltimore, Md
- O•••• F•• I••• to F••••••• F•••••••• S••••••••• L••left Feb 5, 2021, registered Feb 17, 2021 (12 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to O•••• F•• I•••left Nov 4, 2013, registered Nov 1, 2013 (-3 days) · Other
- O•••• F•• I••• to P•• W••••• M•••••••••left Mar 26, 2012, registered Apr 10, 2012 (15 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to O•••• F•• I•••left Nov 7, 2002, registered Feb 8, 2012 (3380 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address