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••• M•••••• B••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 12, 2016 · Baltimore, Md
- U•• F•••••••• S••••••• I••• wirehouseMar 9, 2007 to Dec 15, 2015 · Hunt Valley, Md
- M••••• S•••••• D• I••• unclassifiedOct 25, 1999 to Mar 12, 2007 · Hunt Valley, Md
- U•• F•••••••• S••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 15, 2015, registered Sep 12, 2016 (272 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Mar 12, 2007, registered Mar 9, 2007 (-3 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