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••••••• A••• B••••
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Feb 14, 2024 · Cedar Rapids, Ia
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to Feb 5, 2024 · Rockville, Md
- H• B•••• I••• formerJan 5, 2018 to Apr 1, 2021 · Rockville, Md
- H•••••• T••••••• • K•••• L•• independent RIASep 15, 2005 to Dec 20, 2017 · Horsham, Pa
- A••••••• A••••••• S••••••• formerSep 30, 2004 to Aug 26, 2005 · Bethesda, Md
- T•• A••••••• G••••• I••• unclassifiedAug 7, 2003 to Sep 30, 2004 · Bethesda, Md
- G•••• P•••• A•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Feb 5, 2024, registered Feb 14, 2024 (9 days) · Affiliated broker-dealer or bank to another
- H• B•••• I••• to G•••• P•••• A•••••••• L••left Apr 1, 2021, registered Apr 1, 2021 (0 days) · corporate re-registration, not a move
- H•••••• T••••••• • K•••• L•• to H• B•••• I•••left Dec 20, 2017, registered Jan 5, 2018 (16 days) · Other
- A••••••• A••••••• S••••••• to H•••••• T••••••• • K•••• L••left Aug 26, 2005, registered Sep 15, 2005 (20 days) · Other
- T•• A••••••• G••••• I••• to A••••••• A••••••• S•••••••left Sep 30, 2004, registered Sep 30, 2004 (0 days) · Other
- M••••••• A••• B•••• left G•••• P•••• A•••••••• L•• for T••••••••• F•••••••• A•••••••• L•• (registered 2024-02-14)Feb 5, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address