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•••••• L••••• C••••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Oct 28, 2020 · West Chester, Pa
- U••••• B•••••••• S••••••• I•• BD affiliatedFeb 25, 2013 to Oct 28, 2020 · Falls Church, Va
- C••••••• • C••• I••• formerFeb 7, 2011 to Feb 27, 2013 · Gaithersburg, Md
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Feb 8, 2011 · Gaithersburg, Md
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedNov 14, 2006 to Jan 2, 2009 · Gaithersburg, Md
- S••••••• I••••••••• S•••••••• I••• formerJun 15, 2005 to Sep 7, 2006 · Herndon, Va
- U••••• B•••••••• S••••••• I•• BD affiliatedJan 1, 1999 to Jun 3, 2005 · Fairfax, Va
- U••••• B•••••••• S••••••• I•• to W••••••••• A••••••• P••••••• L••left Oct 28, 2020, registered Oct 28, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- C••••••• • C••• I••• to U••••• B•••••••• S••••••• I••left Feb 27, 2013, registered Feb 25, 2013 (-2 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••• • C••• I•••left Feb 8, 2011, registered Feb 7, 2011 (-1 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Sep 7, 2006, registered Nov 14, 2006 (68 days) · Other
- U••••• B•••••••• S••••••• I•• to S••••••• I••••••••• S•••••••• I•••left Jun 3, 2005, registered Jun 15, 2005 (12 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