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.
M•••••• D••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jan 3, 2023 · Rockville, Md
- P•• W••••• M••••••••• BD affiliatedJan 9, 2012 to May 27, 2022 · Laurel, Md
- W•••• F•••• A••••••• wirehouseJul 31, 2007 to Dec 21, 2011 · Columbia, Md
- S••••••• I••••••••• S•••••••• I••• formerMar 9, 2006 to Aug 3, 2007 · Woodbridge, Va
- P•• W••••• M••••••••• to C•••••••• G••••• M•••••• I•••left May 27, 2022, registered Jan 3, 2023 (221 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Dec 21, 2011, registered Jan 9, 2012 (19 days) · Other
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Aug 3, 2007, registered Jul 31, 2007 (-3 days) · Other
- M•••••• D•••••• left P•• W••••• M••••••••• for C•••••••• G••••• M•••••• I••• (registered 2023-01-03)May 27, 2022 · Advisor changed firm · fact
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