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••••••• R•••• L••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 5, 2022 · Bradenton, Fl
- G•••• P•••• A•••••••• L•• formerApr 1, 2021 to Dec 15, 2021 · Rockville, Md
- H• B•••• I••• formerAug 17, 2012 to Apr 1, 2021 · Columbia, Md
- M••••••••• L•• unclassifiedOct 16, 2006 to Mar 26, 2011 · Ellicott City, Md
- O•••• W•••••• I••• BD affiliatedJun 22, 2000 to Aug 20, 2012 · Baltimore, Md
- G•••• P•••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 15, 2021, registered Jan 5, 2022 (21 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
- O•••• W•••••• I••• to M••••••••• L••left Aug 20, 2012, registered Oct 16, 2006 (-2135 days) · Other
- M••••••••• L•• to H• B•••• I•••left Mar 26, 2011, registered Aug 17, 2012 (510 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