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•••••• J••••• S••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Aug 8, 2012 · Towson, Md
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 16, 2012 · Alexandria, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Alexandria, Va
- L••• M•••• W••• W•••••• I••••••••• unclassifiedFeb 24, 2004 to Feb 21, 2006 · Mclean, Va
- S•••• • S••••••••• L•• formerFeb 19, 2004 to Feb 25, 2004 · Greensboro, Nc
- M••••• S•••••• D• I••• unclassifiedFeb 5, 1999 to Feb 11, 2004 · Winston-Salem, Nc
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Aug 16, 2012, registered Aug 8, 2012 (-8 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to L••• M•••• W••• W•••••• I•••••••••left Feb 25, 2004, registered Feb 24, 2004 (-1 days) · Other
- M••••• S•••••• D• I••• to S•••• • S••••••••• L••left Feb 11, 2004, registered Feb 19, 2004 (8 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address