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.
L•••••• W•••••
- R•• C•••••• M••••••• L•• national BD currentsince Jun 14, 2023 · Vienna, Va
- J••••• M••••••••• S•••• L•• BD affiliatedJul 14, 2010 to Jun 20, 2023 · Washington, Dc
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 7, 2010 · Washington, Dc
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Washington, Dc
- L••• M•••• W••• W•••••• I••••••••• unclassifiedNov 27, 1998 to Feb 21, 2006 · Washington, Dc
- J••••• M••••••••• S•••• L•• to R•• C•••••• M••••••• L••left Jun 20, 2023, registered Jun 14, 2023 (-6 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to J••••• M••••••••• S•••• L••left Jul 7, 2010, registered Jul 14, 2010 (7 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- L•••••• W••••• left J••••• M••••••••• S•••• L•• for R•• C•••••• M••••••• L•• (registered 2023-06-14)Jun 20, 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address