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••••• H•••• C•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 23, 2019 · Plymouth, Mn
- T•••• A•••••••• L•• formerJan 30, 2014 to Feb 28, 2018 · Bethesda, Md
- P••••••• S•••••••• G••••• L•• formerNov 2, 2010 to Sep 10, 2019 · Fulton, Md
- O•••• F•• I••• formerSep 1, 1999 to Nov 5, 2010 · Columbia, Md
- P••••••• S•••••••• G••••• L•• to T•••• A•••••••• L••left Sep 10, 2019, registered Jan 30, 2014 (-2049 days) · Other · moved with a team
- T•••• A•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Feb 28, 2018, registered Jul 23, 2019 (510 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to P••••••• S•••••••• G••••• L••left Nov 5, 2010, registered Nov 2, 2010 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address