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.
C••••••••• J••••• B•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 31, 2018 · Immokalee, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 8, 2009 to Nov 3, 2018 · Bel Air, Md
- W•••• F•••• A••••••• wirehouseMar 2, 2001 to May 11, 2009 · Bel Air, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 3, 2018, registered Oct 31, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 11, 2009, registered May 8, 2009 (-3 days) · Wirehouse to wirehouse
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address