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.
F•••••• M•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 2, 2022 · Washington, Dc
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 3, 2014 to May 31, 2022 · Washington, Dc
- S••••••• I••••••••• S•••••••• I••• formerFeb 25, 2014 to Sep 9, 2014 · Washington, Dc
- U•• F•••••••• S••••••• I••• wirehouseFeb 15, 2001 to Feb 5, 2003 · Washington, Dc
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 31, 2022, registered Jun 2, 2022 (2 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S••••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Sep 9, 2014, registered Oct 3, 2014 (24 days) · Other
- U•• F•••••••• S••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Feb 5, 2003, registered Feb 25, 2014 (4038 days) · Other
- F•••••• M••••••• left C•••••••• G••••• M•••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-06-02)May 31, 2022 · 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address