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.
L•• J••••• K••••
- V••••••• C•••••• A•••••••• L•• independent RIA currentsince Jun 26, 2017 · Naples, Fl
- H•••••••• A•••••••• L•• BD affiliatedFeb 17, 2012 to Jun 30, 2017 · Sparks, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 8, 1999 to Feb 21, 2012 · Hunt Valley, Md
- H•••••••• A•••••••• L•• to V••••••• C•••••• A•••••••• L••left Jun 30, 2017, registered Jun 26, 2017 (-4 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••••• A•••••••• L••left Feb 21, 2012, registered Feb 17, 2012 (-4 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address