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.
F•••••••• S•••• L•••
- L•• F•••••••• L•• BD affiliated currentsince Oct 21, 2019 · Hammondsport, Ny
- C••••• A••••••• L•• formerOct 3, 2016 to Oct 22, 2019 · Westminster, Md
- I•••••••• C•••••• A••••••• formerMar 5, 2010 to Oct 3, 2016 · Lynnfield, Ma
- U•• F•••••••• S••••••• I••• wirehouseApr 21, 2006 to Mar 12, 2010 · Hunt Valley, Md
- A• G• E•••••• • S•••• I••• unclassifiedSep 18, 2000 to Apr 24, 2006 · Hunt Valley, Md
- C••••• A••••••• L•• to L•• F•••••••• L••left Oct 22, 2019, registered Oct 21, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- I•••••••• C•••••• A••••••• to C••••• A••••••• L••left Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move · moved with a team
- U•• F•••••••• S••••••• I••• to I•••••••• C•••••• A•••••••left Mar 12, 2010, registered Mar 5, 2010 (-7 days) · Other
- A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••left Apr 24, 2006, registered Apr 21, 2006 (-3 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