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.
T•••• C••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Apr 23, 2018 · Linthicum Heights, Md
- C•••••• O•• A•••••••• L•• formerFeb 5, 2016 to Apr 23, 2018 · Potomac, Md
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 4, 2013 to Feb 2, 2016 · Rockville, Md
- A••••••••• F•••••••• S•••••••• L•• national BDJun 13, 2012 to Oct 3, 2013 · Bethesda, Md
- C•••••• O•• A•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Apr 23, 2018, registered Apr 23, 2018 (0 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••• O•• A•••••••• L••left Feb 2, 2016, registered Feb 5, 2016 (3 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 3, 2013, registered Oct 4, 2013 (1 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