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.
T••• R• P•••
- T•••••••• P••••••• F•••••••• L•• mixed wealth currentsince May 17, 2024 · Columbia, Md
- T••••• A••••••• S•••••••• I••• BD affiliatedMar 28, 2018 to Oct 10, 2023 · Chevy Chase, Md
- C••••••••• F•••••••• N•••••• national BDDec 8, 2015 to Mar 16, 2018 · Reston, Va
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 22, 2003 · Washington, Dc
- P••••••••• E••••• G••••• L•• unclassifiedApr 30, 1999 to Jul 1, 2003 · Washington, Dc
- T••••• A••••••• S•••••••• I••• to T•••••••• P••••••• F•••••••• L••left Oct 10, 2023, registered May 17, 2024 (220 days) · Affiliated broker-dealer or bank to a newly registered adviser
- C••••••••• F•••••••• N•••••• to T••••• A••••••• S•••••••• I•••left Mar 16, 2018, registered Mar 28, 2018 (12 days) · Other
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Aug 22, 2003, registered Dec 8, 2015 (4491 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- T••• R• P••• left T••••• A••••••• S•••••••• I••• for T•••••••• P••••••• F•••••••• L•• (registered 2024-05-17)Oct 10, 2023 · 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address