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••••• E••••• F•••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jul 31, 2012 · Bel Air, Md
- R••••••• F•••••••• S••••••••• independent RIADec 13, 2011 to Aug 3, 2012 · Nottingham, Md
- I•••••••• C•••••• A••••••• formerJun 28, 2007 to Nov 22, 2011 · Nottingham, Md
- R••••••• F•••••••• S••••••••• to P•••••• A•••••• G••••• L••left Aug 3, 2012, registered Jul 31, 2012 (-3 days) · Other
- I•••••••• C•••••• A••••••• to R••••••• F•••••••• S•••••••••left Nov 22, 2011, registered Dec 13, 2011 (21 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address