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.
- W•••• F•••• A••••••• wirehouse currentsince Nov 21, 2023 · Columbia, Md
- P•• W••••• M••••••••• BD affiliatedSep 23, 2010 to Nov 24, 2023 · Salisbury, Md
- L•• F•••••••• L•• BD affiliatedDec 19, 2007 to Sep 20, 2010 · Worton, Md
- C••••• I••••••••• S••••••• L•• formerMay 18, 2006 to Dec 21, 2007 · Chestertown, Md
- C••••• I••••••••• S••••••• L•• formerJan 7, 2003 to Aug 9, 2005 · Springfield, Ma
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Nov 24, 2023, registered Nov 21, 2023 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Sep 20, 2010, registered Sep 23, 2010 (3 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Dec 21, 2007, registered Dec 19, 2007 (-2 days) · Other
- M••• B••••••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2023-11-21)Nov 24, 2023 · 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address