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• B••••
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliated currentsince Apr 29, 2020 · Owings Mills, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 16, 2016 to Mar 16, 2020 · Salisbury, Md
- L•• F•••••••• L•• BD affiliatedApr 25, 2016 to Jul 26, 2016 · Hanover, Md
- S••••••• I••••••••• S•••••••• I••• formerMay 6, 2014 to Apr 25, 2016 · Baltimore, Md
- W•••• F•••• A••••••• wirehouseAug 10, 2004 to Apr 2, 2014 · Ellicott City, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• R••• P•••• A••••••• S•••••••• I•••left Mar 16, 2020, registered Apr 29, 2020 (44 days) · Wirehouse to independent RIA
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 26, 2016, registered Sep 16, 2016 (52 days) · Other
- S••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Apr 25, 2016, registered Apr 25, 2016 (0 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Apr 2, 2014, registered May 6, 2014 (34 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address