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.
A•••••••• R••••••• H•••••
- H••••• P••••••• • M••••••••• L•• independent RIA currentsince Mar 31, 2022 · Shepherdstown, Wv
- U••••• C•••••• F•••••••• A••••••• independent RIAApr 5, 2016 to Apr 28, 2022 · Shepherdstown, Wv
- H•• W••••• M••••••••• formerJul 2, 2002 to Apr 12, 2016 · Shepherdstown, Wv
- L•• F•••••••• L•• BD affiliatedJan 18, 2000 to Aug 20, 2002 · Sheperdstown, Wv
- U••••• C•••••• F•••••••• A••••••• to H••••• P••••••• • M••••••••• L••left Apr 28, 2022, registered Mar 31, 2022 (-28 days) · Affiliated broker-dealer or bank to a newly registered adviser
- H•• W••••• M••••••••• to U••••• C•••••• F•••••••• A•••••••left Apr 12, 2016, registered Apr 5, 2016 (-7 days) · Other · moved with a team
- L•• F•••••••• L•• to H•• W••••• M•••••••••left Aug 20, 2002, registered Jul 2, 2002 (-49 days) · Other
- A•••••••• R••••••• H••••• left U••••• C•••••• F•••••••• A••••••• for H••••• P••••••• • M••••••••• L•• (registered 2022-03-31)Apr 28, 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address