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.
P•••• H••••• C•••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Mar 21, 2016 · Gaithersburg, Md
- I••••••••• F•••••••• G••••• L•• BD affiliatedJun 23, 2014 to Feb 29, 2016 · Rockville, Md
- C•••••• C••••••••• G•••• L•• unclassifiedAug 27, 2003 to Dec 31, 2010 · Leesburg, Va
- S••••• S••••••••• C••••••••• unclassifiedApr 5, 2002 to Dec 31, 2002 · Leesburg, Va
- I••••••••• F•••••••• G••••• L•• to A••••• A•• P••••••• S•••••••left Feb 29, 2016, registered Mar 21, 2016 (21 days) · Other
- C•••••• C••••••••• G•••• L•• to I••••••••• F•••••••• G••••• L••left Dec 31, 2010, registered Jun 23, 2014 (1270 days) · Other
- S••••• S••••••••• C••••••••• to C•••••• C••••••••• G•••• L••left Dec 31, 2002, registered Aug 27, 2003 (239 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address