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•••• D•••••• H••••
- M••••• S•••••• wirehouse currentsince Jul 5, 2019 · Baltimore, Md
- B•••• A••••••• mixed wealthNov 8, 2013 to Jul 8, 2019 · Baltimore, Md
- S•••• B•••••• A•••• M••••••••• L•• formerJan 5, 2009 to Feb 28, 2013 · Los Angeles, Ca
- R••••••••• A•••• M••••••••• I••• unclassifiedAug 8, 2006 to Jan 5, 2009 · Radnor, Pa
- B•••• A••••••• to M••••• S••••••left Jul 8, 2019, registered Jul 5, 2019 (-3 days) · RIA to wirehouse
- S•••• B•••••• A•••• M••••••••• L•• to B•••• A•••••••left Feb 28, 2013, registered Nov 8, 2013 (253 days) · Other
- R••••••••• A•••• M••••••••• I••• to S•••• B•••••• A•••• M••••••••• L••left Jan 5, 2009, registered Jan 5, 2009 (0 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address