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.
R••••••• K•••••••• B•••••
- M••••• S•••••• wirehouse currentsince Nov 1, 2019 · Ponte Vedra Beach, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedJan 22, 2007 to Sep 13, 2019 · Towson, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 3, 2006 to Feb 1, 2007 · Lutherville, Md
- J••••• M••••••••• S•••• L•• to M••••• S••••••left Sep 13, 2019, registered Nov 1, 2019 (49 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• G••••• M•••••• I••• to J••••• M••••••••• S•••• L••left Feb 1, 2007, registered Jan 22, 2007 (-10 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address