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.
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R••• B•••• W••••••••
- A•••••• W••••• M••••••••• L•• independent RIA currentsince Oct 7, 2024 · Mount Pleasant, Sc
- C•• W•••••• L•• formerNov 13, 2017 to Dec 31, 2024 · Rockville, Md
- C••••••••• F•••••••• N•••••• national BDMay 3, 1999 to Nov 13, 2017 · Washington, Dc
- C•• W•••••• L•• to A•••••• W••••• M••••••••• L••left Dec 31, 2024, registered Oct 7, 2024 (-85 days) · RIA to RIA · moved with a team
- C••••••••• F•••••••• N•••••• to C•• W•••••• L••left Nov 13, 2017, registered Nov 13, 2017 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- R••• B•••• W•••••••• left C•• W•••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-10-07)Dec 31, 2024 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address