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••• W•••••• R•••
- I••••••••• independent RIA currentsince Apr 5, 2022 · Fort Mill, Sc
- C••••••••• F•••••••• N•••••• national BDMay 2, 2012 to Apr 5, 2022 · Waltham, Ma
- L•• F•••••••• L•• BD affiliatedOct 2, 2007 to May 3, 2012 · Rockville, Md
- L•• F•••••••• L•• BD affiliatedSep 12, 2007 to Oct 2, 2007 · Rockville, Md
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 12, 2004 to Oct 9, 2007 · Onley, Md
- C••••••••• F•••••••• N•••••• to I•••••••••left Apr 5, 2022, registered Apr 5, 2022 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left May 3, 2012, registered May 2, 2012 (-1 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 9, 2007, registered Sep 12, 2007 (-27 days) · Other
- D••• W•••••• R••• left C••••••••• F•••••••• N•••••• for Intentional (registered 2022-04-05)Apr 5, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address