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.
K••• D•••• R••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 17, 2025 · Paramus, Nj
- P•••••• P•••••••• P•••••••• L•• formerAug 30, 2016 to Apr 8, 2025 · Middletown, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 20, 2009 to Aug 22, 2016 · Frederick, Md
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 24, 2009 · Frederick, Md
- M••••• S•••••• D• I••• unclassifiedOct 13, 2006 to Apr 2, 2007 · Frederick, Md
- L••••• W••••• M••••••••• C••••••• L•• unclassifiedNov 3, 2005 to Sep 25, 2006 · Rockville, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJun 5, 2002 to Jan 23, 2004 · Short Hills, Nj
- P•••••• P•••••••• P•••••••• L•• to L•• F•••••••• L••left Apr 8, 2025, registered Mar 17, 2025 (-22 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••• P•••••••• P•••••••• L••left Aug 22, 2016, registered Aug 30, 2016 (8 days) · Other
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 24, 2009, registered Feb 20, 2009 (-4 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- L••••• W••••• M••••••••• C••••••• L•• to M••••• S•••••• D• I•••left Sep 25, 2006, registered Oct 13, 2006 (18 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to L••••• W••••• M••••••••• C••••••• L••left Jan 23, 2004, registered Nov 3, 2005 (650 days) · Other
- K••• D•••• R•••• left P•••••• P•••••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2025-03-17)Apr 8, 2025 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address