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.
- E••••• J•••• national BD currentsince Aug 16, 2019 · Catonsville, Md
- E•••••••• A•••••••• L•• national BDSep 28, 2018 to Nov 1, 2018 · Columbia, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 4, 2017 to Jun 14, 2018 · Hunt Valley, Md
- W•••• F•••• A••••••• wirehouseFeb 24, 2017 to Oct 10, 2017 · Baltimore, Md
- B••• I••••••••• S•••••••• I••• formerOct 4, 2010 to Nov 29, 2016 · Rockville, Md
- T••••••• I••••••••• M••••••••• I••• BD affiliatedAug 31, 2009 to Aug 9, 2010 · Sterling, Va
- U•• F•••••••• S••••••• I••• wirehouseJul 27, 2007 to May 13, 2009 · Baltimore, Md
- E•••••••• A•••••••• L•• to E••••• J••••left Nov 1, 2018, registered Aug 16, 2019 (288 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••left Jun 14, 2018, registered Sep 28, 2018 (106 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 10, 2017, registered Nov 4, 2017 (25 days) · Wirehouse to wirehouse
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 29, 2016, registered Feb 24, 2017 (87 days) · Other
- T••••••• I••••••••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Aug 9, 2010, registered Oct 4, 2010 (56 days) · Other
- U•• F•••••••• S••••••• I••• to T••••••• I••••••••• M••••••••• I•••left May 13, 2009, registered Aug 31, 2009 (110 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address