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••••••••• R•••••• W•••••
- W••••••• S••••••••• I••• BD affiliated currentsince Feb 8, 2022 · Wheeling, Wv
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 6, 2016 to Sep 27, 2019 · Fulton, Md
- S••••••• I••••••••• S•••••••• I••• formerDec 3, 2014 to Dec 31, 2016 · Fulton, Md
- W•••• F•••• A••••••• wirehouseDec 7, 2012 to Dec 12, 2014 · Laurel, Md
- U••••• B•••••••• S••••••• I•• BD affiliatedSep 7, 2011 to Dec 7, 2012 · Winchester, Va
- C••••• I••••••••• S••••••• L•• formerNov 27, 2007 to Aug 2, 2011 · Hagerstown, Md
- I••• S••••••••• I••• unclassifiedJul 2, 2003 to Nov 28, 2007 · Hagerstown, Md
- I••••• F•••••••• C••••••••• formerJul 9, 2001 to Feb 10, 2003 · Hagerstown, Md
- T••••• A••••••• S•••••••• I••• to W••••••• S••••••••• I•••left Sep 27, 2019, registered Feb 8, 2022 (865 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 6, 2016 (-116 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Dec 12, 2014, registered Dec 3, 2014 (-9 days) · Other
- U••••• B•••••••• S••••••• I•• to W•••• F•••• A•••••••left Dec 7, 2012, registered Dec 7, 2012 (0 days) · Other
- C••••• I••••••••• S••••••• L•• to U••••• B•••••••• S••••••• I••left Aug 2, 2011, registered Sep 7, 2011 (36 days) · Other
- I••• S••••••••• I••• to C••••• I••••••••• S••••••• L••left Nov 28, 2007, registered Nov 27, 2007 (-1 days) · Other
- I••••• F•••••••• C••••••••• to I••• S••••••••• I•••left Feb 10, 2003, registered Jul 2, 2003 (142 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