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.
M••••••• A••• H•••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Oct 21, 2022 · Washington, Dc
- W•••• F•••• A••••••• wirehouseJan 24, 2020 to Aug 24, 2022 · Bethesda, Md
- U•• F•••••••• S••••••• I••• wirehouseAug 26, 2015 to Apr 4, 2019 · Baltimore, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 7, 2013 to Aug 31, 2015 · North Bethesda, Md
- M••••• S•••••• wirehouseJan 9, 2013 to Feb 6, 2013 · Bethesda, Md
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Aug 24, 2022, registered Oct 21, 2022 (58 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 4, 2019, registered Jan 24, 2020 (295 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Aug 31, 2015, registered Aug 26, 2015 (-5 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 6, 2013, registered Feb 7, 2013 (1 days) · Wirehouse to wirehouse
- M••••••• A••• H••••••••• left W•••• F•••• A••••••• for O••••••••• • C•• I••• (registered 2022-10-21)Aug 24, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address