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.
B•••• R•• G•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 2, 2015 · Rockville, Md
- L•••••• I••••••••• independent RIAFeb 23, 2004 to Nov 5, 2015 · Rockville, Md
- O•••• F•• I••• formerSep 3, 2002 to Feb 17, 2004 · Lutherville, Md
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 26, 2002 to Aug 16, 2002 · Frederick, Md
- L•••••• I••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 5, 2015, registered Nov 2, 2015 (-3 days) · Other · moved with a team
- O•••• F•• I••• to L•••••• I•••••••••left Feb 17, 2004, registered Feb 23, 2004 (6 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to O•••• F•• I•••left Aug 16, 2002, registered Sep 3, 2002 (18 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address