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••• J• P•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Westminster, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 20, 2022 to Mar 31, 2025 · Towson, Md
- A••••• A•• P••••••• S••••••• BD affiliatedSep 26, 2013 to Aug 1, 2022 · Baltimore, Md
- P•• W••••• M••••••••• BD affiliatedApr 1, 2013 to Sep 25, 2013 · Bel Air, Md
- P•• W••••• M••••••••• BD affiliatedJul 22, 2009 to Apr 8, 2011 · Westminster, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJan 22, 2009 to Jun 10, 2009 · Owings Mills, Md
- C••••••••• I••••••••• L•• mixed wealthMar 16, 2006 to Jan 26, 2007 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJan 3, 2005 to Dec 5, 2005 · Baltimore, Md
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 1, 2022, registered Sep 20, 2022 (50 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to A••••• A•• P••••••• S•••••••left Sep 25, 2013, registered Sep 26, 2013 (1 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to P•• W••••• M•••••••••left Jun 10, 2009, registered Jul 22, 2009 (42 days) · Other
- C••••••••• I••••••••• L•• to T• R••• P•••• A••••••• S•••••••• I•••left Jan 26, 2007, registered Jan 22, 2009 (727 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C••••••••• I••••••••• L••left Dec 5, 2005, registered Mar 16, 2006 (101 days) · Other
- M••• J• P••••••• left A••••• A•• P••••••• S••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-09-20)Aug 1, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address