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••• D•••• F••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 2, 2009 · Fairfax, Va
- C•••• C•••• F•••••••• S••••••• unclassifiedSep 22, 2005 to May 30, 2008 · Bethesda, Md
- U••••• B•••••••• S••••••• I•• BD affiliatedOct 21, 2004 to Sep 20, 2005 · Vienna, Va
- W•••• F•••• A••••••• wirehouseOct 8, 2003 to Oct 18, 2004 · Washington, Dc
- C•••• C•••• F•••••••• S••••••• unclassifiedMay 21, 2002 to Jul 2, 2003 · Bethesda, Md
- C•••• C•••• F•••••••• S••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 30, 2008, registered Jan 2, 2009 (217 days) · Other
- U••••• B•••••••• S••••••• I•• to C•••• C•••• F•••••••• S•••••••left Sep 20, 2005, registered Sep 22, 2005 (2 days) · Other
- W•••• F•••• A••••••• to U••••• B•••••••• S••••••• I••left Oct 18, 2004, registered Oct 21, 2004 (3 days) · Other
- C•••• C•••• F•••••••• S••••••• to W•••• F•••• A•••••••left Jul 2, 2003, registered Oct 8, 2003 (98 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