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.
D•••••• R•••••• M••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 1, 2017 · Phoenix, Md
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerNov 4, 2009 to Nov 9, 2017 · Hunt Valley, Md
- M•••••••• A••••••• S•••••••• L•• unclassifiedJan 1, 1999 to Dec 1, 2009 · Hunt Valley, Md
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 9, 2017, registered Nov 1, 2017 (-8 days) · Other · moved with a team
- M•••••••• A••••••• S•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 1, 2009, registered Nov 4, 2009 (-27 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address