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.
J••••• W•••••• M•••••
- R•• C•••••• M••••••• L•• national BD currentsince Mar 31, 2009 · Vienna, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Apr 20, 2009 · Mclean, Va
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJun 18, 2001 to Feb 21, 2006 · Mclean, Va
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Apr 20, 2009, registered Mar 31, 2009 (-20 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address