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.
D••••••• G••••• T•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 18, 2020 · Frederick, Md
- L•• F•••••••• L•• BD affiliatedApr 7, 2017 to Mar 4, 2020 · Mclean, Va
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Apr 3, 2017 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedApr 27, 2010 to Jan 28, 2015 · Melville, Ny
- C•••• C•••• F•••••••• S••••••• unclassifiedFeb 2, 1998 to May 7, 2010 · Bethesda, Md
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 4, 2020, registered Feb 18, 2020 (-15 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• O•• A•••••••• L•• to L•• F•••••••• L••left Apr 3, 2017, registered Apr 7, 2017 (4 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- C•••• C•••• F•••••••• S••••••• to C•••••• O•• F•••••••• A••••••• L••left May 7, 2010, registered Apr 27, 2010 (-10 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address