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.
A••••• F•••• C•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 1, 2020 · Stevensville, Md
- A•••• P•••• A••••••• formerApr 2, 2018 to Jun 1, 2020 · Stevensville, Md
- U••••• A••••••• formerOct 18, 2013 to Apr 13, 2018 · Stevensville, Md
- L•• F•••••••• L•• BD affiliatedJan 10, 2003 to Nov 7, 2013 · Stevensville, Md
- A••••••••• F•••••••• S•••••••• L•• national BDApr 23, 1995 to Jan 23, 2003 · Vienna, Va
- A•••• P•••• A••••••• to L•• F•••••••• L••left Jun 1, 2020, registered Jun 1, 2020 (0 days) · Affiliated broker-dealer or bank to another
- U••••• A••••••• to A•••• P•••• A•••••••left Apr 13, 2018, registered Apr 2, 2018 (-11 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to U••••• A•••••••left Nov 7, 2013, registered Oct 18, 2013 (-20 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jan 23, 2003, registered Jan 10, 2003 (-13 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address