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•••••• H••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Oct 27, 2016 · La Plata, Md
- O•••• I••••••••• I••• BD affiliatedJun 1, 2008 to Jun 17, 2016 · Waldorf, Md
- B• I••••••••• L•• unclassifiedFeb 21, 2007 to Jun 1, 2008 · Waldorf, Md
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedNov 7, 2005 to Mar 3, 2007 · Waldorf, Md
- M•• S••••••••• I••• unclassifiedJul 29, 2004 to Oct 27, 2005 · Cheektowaga, Ny
- V•••• F•••••••• A•••••••• I••• BD affiliatedSep 15, 2003 to Jul 26, 2004 · Glen Burnie, Md
- M••••• S•••••• D• I••• unclassifiedJan 30, 2001 to Feb 10, 2003 · Washington, Dc
- O•••• I••••••••• I••• to W••••••••• A••••••• P••••••• L••left Jun 17, 2016, registered Oct 27, 2016 (132 days) · Other
- B• I••••••••• L•• to O•••• I••••••••• I•••left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to B• I••••••••• L••left Mar 3, 2007, registered Feb 21, 2007 (-10 days) · Other
- M•• S••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Oct 27, 2005, registered Nov 7, 2005 (11 days) · Other
- V•••• F•••••••• A•••••••• I••• to M•• S••••••••• I•••left Jul 26, 2004, registered Jul 29, 2004 (3 days) · Other
- M••••• S•••••• D• I••• to V•••• F•••••••• A•••••••• I•••left Feb 10, 2003, registered Sep 15, 2003 (217 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address