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.
K••••••• N••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 24, 2019 · Fulton, Md
- P••••••• S•••••••• G••••• L•• formerDec 27, 2013 to Sep 10, 2019 · Fulton, Md
- W•••• F•••• A••••••• wirehouseMay 3, 2010 to Dec 3, 2013 · Gaithersburg, Md
- U•• F•••••••• S••••••• I••• wirehouseMay 28, 2008 to May 7, 2010 · Rockville, Md
- P••••••• S•••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Sep 10, 2019, registered Jul 24, 2019 (-48 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to P••••••• S•••••••• G••••• L••left Dec 3, 2013, registered Dec 27, 2013 (24 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left May 7, 2010, registered May 3, 2010 (-4 days) · Wirehouse to wirehouse
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address