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.
S•••••• M•••••• M••••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Jan 9, 2017 · Vienna, Va
- W••••••••• T•••• I••••••••• A•••••••• I••• otherMay 13, 2009 to Aug 31, 2010 · Baltimore, Md
- M•• S••••••••• I••• unclassifiedMay 13, 2009 to Jul 12, 2010 · Baltimore, Md
- W••••••••• T•••• I••••••••• A•••••••• I••• to T• P•••••• C••••• W••••• L••left Aug 31, 2010, registered Jan 9, 2017 (2323 days) · Other
- M•• S••••••••• I••• to W••••••••• T•••• I••••••••• A•••••••• I•••left Jul 12, 2010, registered May 13, 2009 (-425 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address