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.
- E••••• J•••• national BD currentsince Feb 7, 2020 · South Riding, Va
- U•• F•••••••• S••••••• I••• wirehouseNov 3, 2014 to Sep 26, 2018 · Mclean, Va
- R••••• W• B•••• • C•• I••••••••• mixed wealthJul 20, 2007 to Oct 30, 2014 · Towson, Md
- F•••••• B•••• W••••• L•• unclassifiedApr 14, 2003 to Aug 2, 2007 · Reston, Va
- U•• F•••••••• S••••••• I••• to E••••• J••••left Sep 26, 2018, registered Feb 7, 2020 (499 days) · Wirehouse to affiliated broker-dealer or bank
- R••••• W• B•••• • C•• I••••••••• to U•• F•••••••• S••••••• I•••left Oct 30, 2014, registered Nov 3, 2014 (4 days) · Other
- F•••••• B•••• W••••• L•• to R••••• W• B•••• • C•• I•••••••••left Aug 2, 2007, registered Jul 20, 2007 (-13 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address