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••••• M• R••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 2, 2012 · Towson, Md
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 5, 2012 · Baltimore, Md
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Baltimore, Md
- M••••• S•••••• D• I••• unclassifiedFeb 27, 2006 to Apr 2, 2007 · Baltimore, Md
- D••••••• B••• S••••••••• I••• no RAUMDec 8, 2005 to Feb 21, 2006 · Baltimore, Md
- M••••• S•••••• D• I••• unclassifiedOct 27, 1999 to Dec 5, 2005 · Hunt Valley, Md
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 5, 2012, registered Nov 2, 2012 (-3 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- D••••••• B••• S••••••••• I••• to M••••• S•••••• D• I•••left Feb 21, 2006, registered Feb 27, 2006 (6 days) · Other
- M••••• S•••••• D• I••• to D••••••• B••• S••••••••• I•••left Dec 5, 2005, registered Dec 8, 2005 (3 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address