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.
C••••••••• A••• S•••••••
- C•••••• S••••• • C••• I••• national BD currentsince May 11, 2022 · Alexandria, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 9, 2023 to Sep 7, 2023 · Washington, Dc
- J••••• M••••••••• S•••• L•• BD affiliatedSep 13, 2021 to Mar 24, 2022 · Richmond, Va
- C••••• D•••• A•••• M••••••••• independent RIAJan 3, 2012 to Nov 16, 2015 · Baltimore, Md
- P•• W••••• M••••••••• BD affiliatedApr 24, 2009 to Jan 4, 2012 · Chestertown, Md
- I•••••••• P••••••• I••• unclassifiedSep 26, 2008 to Mar 10, 2009 · San Bernardino, Ca
- F•••• W••• S••••• C•••• unclassifiedJun 25, 2001 to Oct 31, 2006 · San Diego, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to no registered destinationleft Sep 7, 2023 · Departure, no registered destination
- J••••• M••••••••• S•••• L•• to C•••••• S••••• • C••• I•••left Mar 24, 2022, registered May 11, 2022 (48 days) · Affiliated broker-dealer or bank to another
- C••••• D•••• A•••• M••••••••• to J••••• M••••••••• S•••• L••left Nov 16, 2015, registered Sep 13, 2021 (2128 days) · Other
- P•• W••••• M••••••••• to C••••• D•••• A•••• M•••••••••left Jan 4, 2012, registered Jan 3, 2012 (-1 days) · Other
- I•••••••• P••••••• I••• to P•• W••••• M•••••••••left Mar 10, 2009, registered Apr 24, 2009 (45 days) · Other
- F•••• W••• S••••• C•••• to I•••••••• P••••••• I•••left Oct 31, 2006, registered Sep 26, 2008 (696 days) · Other
- C••••••••• A••• S••••••• no longer registered at T• A••••••••• I••••••••• M••••••••• L••; no later IA registration on IAPDSep 7, 2023 · Advisor departure · fact
- C••••••••• A••• S••••••• left J••••• M••••••••• S•••• L•• for C•••••• S••••• • C••• I••• (registered 2022-05-11)Mar 24, 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address