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••••••••• P••••• H•••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Jun 21, 2013 · Vienna, Va
- I• A••••••• S•••••••• I••• formerSep 5, 2008 to Jun 23, 2011 · Reston, Va
- L•• F•••••••• L•• BD affiliatedJun 11, 2007 to Sep 9, 2008 · Mclean, Va
- P••• A••••• S••••••••• L•• BD affiliatedNov 1, 2002 to Jun 26, 2007 · Reston, Va
- E••••• A••••• M••••••••• I••• unclassifiedApr 20, 2000 to Aug 27, 2002 · Reston, Va
- I• A••••••• S•••••••• I••• to O• I••••••••• M••••••••• C•left Jun 23, 2011, registered Jun 21, 2013 (729 days) · Other
- L•• F•••••••• L•• to I• A••••••• S•••••••• I•••left Sep 9, 2008, registered Sep 5, 2008 (-4 days) · Other
- P••• A••••• S••••••••• L•• to L•• F•••••••• L••left Jun 26, 2007, registered Jun 11, 2007 (-15 days) · Other
- E••••• A••••• M••••••••• I••• to P••• A••••• S••••••••• L••left Aug 27, 2002, registered Nov 1, 2002 (66 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address