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.
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T••••• K••••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 12, 2023 · Crownsville, Md
- J••••• M••••••••• S•••• L•• BD affiliatedDec 8, 2017 to Apr 12, 2023 · Baltimore, Md
- W•••• F•••• A••••••• wirehouseMar 30, 2012 to Dec 14, 2017 · Annapolis, Md
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 24, 2012 · Annapolis, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Annapolis, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJan 24, 1997 to Feb 21, 2006 · Hunt Valley, Md
- J••••• M••••••••• S•••• L•• to L•• F•••••••• L••left Apr 12, 2023, registered Apr 12, 2023 (0 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Dec 14, 2017, registered Dec 8, 2017 (-6 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 24, 2012, registered Mar 30, 2012 (-25 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- T••••• K••••• H••••• left J••••• M••••••••• S•••• L•• for L•• F•••••••• L•• (registered 2023-04-12)Apr 12, 2023 · 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
- 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