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.
J••••••• L••••••• J••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 17, 2013 · Frederick, Md
- P••••••••• S••••••••• C••••••••• independent RIAMar 25, 2011 to Feb 1, 2013 · Farmingville, Ny
- L••••••••• W••••• M••••••••• formerAug 28, 2006 to Jul 14, 2009 · New Market, Md
- S•• I••••••••• I••• formerMay 5, 2003 to Mar 30, 2011 · New Market, Md
- L••••••••• W••••• M••••••••• formerSep 5, 2002 to Dec 31, 2003 · Frederick, Md
- P••••••••• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 1, 2013, registered Jan 17, 2013 (-15 days) · Other
- S•• I••••••••• I••• to L••••••••• W••••• M•••••••••left Mar 30, 2011, registered Aug 28, 2006 (-1675 days) · Other
- L••••••••• W••••• M••••••••• to P••••••••• S••••••••• C•••••••••left Jul 14, 2009, registered Mar 25, 2011 (619 days) · Other
- L••••••••• W••••• M••••••••• to S•• I••••••••• I•••left Dec 31, 2003, registered May 5, 2003 (-240 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address