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.
- M••••• S•••••• wirehouse currentsince Oct 3, 2011 · Baltimore, Md
- D••••••• B••• S••••••••• I••• no RAUMFeb 19, 2009 to Apr 27, 2009 · Baltimore, Md
- C••••• S••••• S••••••••• •••• L•• formerJun 20, 2007 to Mar 16, 2009 · Baltimore, Md
- T•• L• W••••• C••••••••• I•• independent RIADec 6, 2005 to Jun 23, 2006 · Timonium, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJun 17, 2002 to Jun 29, 2005 · Baltimore, Md
- D••••••• B••• S••••••••• I••• to M••••• S••••••left Apr 27, 2009, registered Oct 3, 2011 (889 days) · Other
- C••••• S••••• S••••••••• •••• L•• to D••••••• B••• S••••••••• I•••left Mar 16, 2009, registered Feb 19, 2009 (-25 days) · Other
- T•• L• W••••• C••••••••• I•• to C••••• S••••• S••••••••• •••• L••left Jun 23, 2006, registered Jun 20, 2007 (362 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to T•• L• W••••• C••••••••• I••left Jun 29, 2005, registered Dec 6, 2005 (160 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address