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.
C••••••••• E••• P••••••
- R•• C•••••• M••••••• L•• national BD currentsince Sep 22, 2017 · Hunt Valley, Md
- S•••••• M••••• L•• independent RIAJun 21, 2006 to Oct 20, 2017 · Hunt Valley, Md
- S•• C•••••• A••••••• L•• institutionalFeb 4, 2002 to Dec 31, 2006 · Hunt Valley, Md
- S•••••• M••••• L•• to R•• C•••••• M••••••• L••left Oct 20, 2017, registered Sep 22, 2017 (-28 days) · Other · moved with a team
- S•• C•••••• A••••••• L•• to S•••••• M••••• L••left Dec 31, 2006, registered Jun 21, 2006 (-193 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address