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.
A•••••• A• P••••
- G•••• V••••• A•••••• G••••• L•• independent RIA currentsince Sep 27, 2024 · Berwyn, Pa
- M••••••• F•••••••• G••••• I••• formerJun 13, 2022 to Oct 3, 2024 · Rockville, Md
- H•••••• T••••••• • K•••• L•• independent RIAAug 8, 2018 to Jun 13, 2022 · Rockville, Md
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Aug 2, 2018 · Rockville, Md
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Rockville, Md
- N•• E•••••• S••••••••• C••••••••• formerDec 14, 2011 to Jan 2, 2015 · Princeton, Nj
- M••••••• F•••••••• G••••• I••• to G•••• V••••• A•••••• G••••• L••left Oct 3, 2024, registered Sep 27, 2024 (-6 days) · RIA to RIA
- H•••••• T••••••• • K•••• L•• to M••••••• F•••••••• G••••• I•••left Jun 13, 2022, registered Jun 13, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Aug 2, 2018, registered Aug 8, 2018 (6 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- A•••••• A• P•••• left M••••••• F•••••••• G••••• I••• for G•••• V••••• A•••••• G••••• L•• (registered 2024-09-27)Oct 3, 2024 · a•••••• firm change · fact
- A•••••• A• P•••• left H•••••• T••••••• • K•••• L•• for M••••••• F•••••••• G••••• I••• (registered 2022-06-13)Jun 13, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address