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•••• T• C•••••
- S•••• W••••• M••••••••• L•• BD affiliated currentsince Jul 14, 2020 · Mclean, Va
- K••• P••••• L•• independent RIAMar 28, 2018 to Jul 14, 2020 · Vienna, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 4, 2013 to Mar 7, 2018 · Cleveland, Oh
- D••••••• B••• S••••••••• I••• no RAUMOct 5, 1998 to Mar 8, 2013 · Washington, Dc
- K••• P••••• L•• to S•••• W••••• M••••••••• L••left Jul 14, 2020, registered Jul 14, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••• P••••• L••left Mar 7, 2018, registered Mar 28, 2018 (21 days) · Other
- D••••••• B••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2013, registered Mar 4, 2013 (-4 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address