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.
S•••• T•••••• T•••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Aug 7, 2024 · Arlington, Va
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jun 28, 2023 · Bethesda, Md
- A•• W••••• M••••••••• formerOct 8, 2014 to Jul 20, 2016 · Reston, Va
- W•••••• • R••• formerJan 2, 2013 to May 9, 2013 · Vienna, Va
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 23, 2013 · Washington, Dc
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Washington, Dc
- M••••• S•••••• D• I••• unclassifiedMar 12, 2004 to Apr 2, 2007 · Bethesda, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJun 22, 2001 to Jul 11, 2003 · Gaithersburg, Md
- A•• W••••• M••••••••• to R••••••••• C•••••• M•••••••••left Jul 20, 2016, registered Jun 28, 2023 (2534 days) · Other
- W•••••• • R••• to A•• W••••• M•••••••••left May 9, 2013, registered Oct 8, 2014 (517 days) · Other
- M••••• S•••••• to W•••••• • R•••left Jan 23, 2013, registered Jan 2, 2013 (-21 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to M••••• S•••••• D• I•••left Jul 11, 2003, registered Mar 12, 2004 (245 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address