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•••• M• W••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 21, 2022 · Vienna, Va
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 21, 2016 to Oct 21, 2022 · Mclean, Va
- S••••••• I••••••••• S•••••••• I••• formerMay 30, 2014 to Dec 31, 2016 · Mclean, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 2, 2014 · Mclean, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Mclean, Va
- W•••• F•••• A••••••• wirehouseAug 3, 2004 to Feb 23, 2006 · Washington, Dc
- U•• F•••••••• S••••••• I••• wirehouseAug 10, 2001 to Jul 23, 2004 · Washington, Dc
- T••••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 21, 2022, registered Oct 21, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 21, 2016 (-101 days) · corporate re-registration, not a move
- M••••• S•••••• to S••••••• I••••••••• S•••••••• I•••left Jun 2, 2014, registered May 30, 2014 (-3 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
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Feb 23, 2006, registered Feb 21, 2006 (-2 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jul 23, 2004, registered Aug 3, 2004 (11 days) · Wirehouse to wirehouse
- R•••• M• W•••••• left T••••• A••••••• S•••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-10-21)Oct 21, 2022 · 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address