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.
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H••••• D••• H•••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Arnold, Md
- S••••••••• A•••••• A•••••••• I••• formerOct 25, 2022 to Jun 14, 2024 · Arnold, Md
- C••••••• • C••• I••• formerSep 28, 2012 to Oct 26, 2022 · Annapolis, Md
- E•••••••• A•••••••• L•• national BDFeb 23, 2009 to Aug 3, 2012 · Annapolis, Md
- V•••• F•••••••• A•••••••• I••• BD affiliatedMar 2, 2003 to Feb 23, 2009 · Glen Burnie, Md
- M••••• S•••••• D• I••• unclassifiedJan 22, 2002 to May 6, 2003 · Annapolis, Md
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- C••••••• • C••• I••• to S••••••••• A•••••• A•••••••• I•••left Oct 26, 2022, registered Oct 25, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to C••••••• • C••• I•••left Aug 3, 2012, registered Sep 28, 2012 (56 days) · Other
- V•••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Feb 23, 2009, registered Feb 23, 2009 (0 days) · Other
- M••••• S•••••• D• I••• to V•••• F•••••••• A•••••••• I•••left May 6, 2003, registered Mar 2, 2003 (-65 days) · Other
- H••••• D••• H••• left C••••••• • C••• I••• for S••••••••• A•••••• A•••••••• I••• (registered 2022-10-25)Oct 26, 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
- 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