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.
W•••••• K• C•••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Dec 11, 2023 · Washington, Dc
- M••••• S•••••• wirehouseApr 23, 2019 to Aug 24, 2023 · Baltimore, Md
- S•••• W••••• M••••••••• L•• BD affiliatedDec 6, 2016 to Mar 25, 2019 · Mclean, Va
- A••••• A•• P••••••• S••••••• BD affiliatedJun 25, 2008 to Dec 2, 2016 · Baltimore, Md
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 9, 2007 to Sep 11, 2007 · Vienna, Va
- W•••• F•••• A••••••• wirehouseMar 3, 2005 to Jun 20, 2006 · Columbia, Md
- M••••• S•••••• to S•••••• P••••••• I••••••••• A•••••••• L••left Aug 24, 2023, registered Dec 11, 2023 (109 days) · Wirehouse to affiliated broker-dealer or bank
- S•••• W••••• M••••••••• L•• to M••••• S••••••left Mar 25, 2019, registered Apr 23, 2019 (29 days) · RIA to wirehouse
- A••••• A•• P••••••• S••••••• to S•••• W••••• M••••••••• L••left Dec 2, 2016, registered Dec 6, 2016 (4 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Sep 11, 2007, registered Jun 25, 2008 (288 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 20, 2006, registered Jul 9, 2007 (384 days) · Other
- W•••••• K• C••• left M••••• S•••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2023-12-11)Aug 24, 2023 · Advisor changed firm · fact
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